) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c
; (2) A prospectus shall not contain any false, exaggerating, or misleading statement. To prepare a prospectus under paragraph one, a management company may use a diagram or any other method to represent
1 แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ (แบบ 69-ASEAN) แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ กรณีบรษัิทไทยเสนอขายหลักทรัพยใ์นไทยและประเทศกลุม่อาเซยีนพรอ้มกนัหรอืในเวลาใกลเ้คยีงกนั Registration Statement for Thai-incorporated Company to offer for sale of securities in Thailand and ASEAN member country simultaneously or in proximate period (ชือ่บรษัิททีเ่สนอขายหลักทรัพย)์ (Commercial Name of the Issuer) - ใหร้ะบลุกัษณะทีส่ าคญัของหลักทรัพยท์ีเ่สนอขาย เชน่ ประเภทหลกัทรัพย ์จ านวน ราคาเสนอขายต...
application with the SEC Office, provided that the action taken hereto shall base upon the commission of the following offences: (a) an offence regarding dishonest acts in relation to accounting professions or
commission of the following offences; dishonest acts in relation to accounting professions, an offence regarding documents or accounts as specified by Section 312 of the Securities and Exchange Act of 1992
distribution of the prospectus, the information used in the advertisement shall comply with the following rules: 10 (1) containing no false, misrepresentation, exaggeration, distortion, concealment or misleading
exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of giving
securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of
under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as