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
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of
notify the incidents to the regulatory agencies in time, the intermediaries shall design a plan for communication with relevent persons either inside or outside companies in accordance with possible
ผลิตภัณฑ์ (product design) ของบริษัทคล่องตัวมากที่สุด จึงเห็นควรกำหนดเป็น guideline กว้าง ๆ แต่เข้าใจตรงกันให้แต่ละบริษัทนำไปเลือกปฏิบัติตามที่เห็นสมควร แต่ถ้าธุรกิจเห็นว่าควรมีมาตรฐาน ก็อาจนำมากำหนดร่วมกันใน
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each of or overall capital market products ; (2
Investment Strategy of Program Trading ______________________ Clause 41/3 In this Division: “ portfolio advisory ” means securities analysis and investment consultation to design a portfolio advisory for a
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the
of the investment committee. (2) Prescription of factors for investment decision to be comprised of at least the followings; - Analysis of overview domestic and international economy taking into
unauthorized physical access. Additional Guidelines 1. The intermediary should design the secure areas by considering physical protection against natural and man-made disasters. Perimeters of building or site