. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties
suitable investment or transaction; (4) investment analysis article conducted by the intermediary ; (5) informative disclosure or relevant services provided to the client after investment or entering into
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
ข้อมูลความเสี่ยงเกี่ยวกับการซื้อขาย สัญญาซื้อขายล่วงหน้า (risk disclosure statement) โดยมีรายการและสาระสำคัญอย่างน้อยตามแนวทาง ของเอกสารการเปิดเผยข้อมูลความเสี่ยงที่แนบท้ายประกาศนี้ ข้อ 4 ประกาศนี้ให้ใช้
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an