; although the customer had never invested in a mutual fund before and could not afford to lose the principal, {A} allocated almost half of the customer's total assets in a mutual fund of a higher risk level

ratio was also close to the target of 42.31 percent. At the same time, our robust capital position was sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement. As evidenced

local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

foreign exchange rate risk, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities

Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first

Office of the Securities and Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By

e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission Risk

business operators and investors. This is because minors’ execution of legal acts is subject to several provisions of the governing Civil and Commercial Code. As a result, minors may be exposed to a risk