receives the application for approval of the offer for sale of the structured notes and a complete set of supporting evidentiary documentation in accordance with the Licensing Manual for the Public, the SEC
”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
) สัญญาซ้ือขายล่วงหน้าท่ีอา้งอิงราคาหรือ ผลตอบแทนในหุ้นของบริษทัจดทะเบียนท่ีมี การซ้ือขายใน TFEX (stock futures) หุ้นกูท่ี้มีอนุพนัธ์แฝง (structured debenture) คู่สมรส หรือผูท่ี้อยูกิ่น ดว้ยกนัฉนัสามีภริยา
complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
securities business in the category of investment management. Clause 4 The prospectus shall provide accurate, complete and adequate 3 information for investment decisions by having characteristics and
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.