Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered units of the CIS; nor
) a warning stating that “investment contains certain risks; investors are recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and
recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and retirement mutual fund, the securities company shall have a warning statement that
Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
.: _________________________ (please use an enclosure if there is more than one participating dealer) Part E: Representative of the CIS Operator 19) Name of proposed representative in Thailand
individual customer; (d) the right to receive information relating to fundamental factors and the risk of the recommended securities, including investment strategy; (5) characteristics of general and specific
or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the