; (3) An issuance and offering of high-risk debt securities must clearly include the term, "High-Risk Bond" in the name of the securities. Additionally, a warning statement must be provided to investors
information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
concerted efforts of all units involved. KASIKORN SECURITIES PCL continued to report favorable operating performance and was able to retain its market leadership. KASIKORN ASSET MANAGEMENT CO., LTD. remained
nature of the mutual fund’s utilization of its assets may cause uncertainty to the amount of its earnings, a warning that unitholders’ benefits or returns may be significantly affected, etc.; (3) a warning
the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficial owners of derivatives contracts regardless of directly or indirectly; (b) the purposes of
การเตือนภัยล่วงหน้าเกี่ยวกับการดำรงฐานะทางการเงินของบริษัท (early warning system) เพื่อให้บริษัทมีเวลาที่เพียงพอในการเตรียมการหรือดำเนินการใดๆ ในการ จัดสรรเงินทุน หรือแก้ไขปัญหาการดำรงฐานะทางการเงินที่
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to