แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
) 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
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
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
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
service. 2. In case of teleworking, the intermediary should establish prudent and sufficient security measures for the information that is accessed, processed, and stored in the operating areas under Clause