without fully explaining the fund's features nor giving the fund fact sheet to the client for self-study. The client misunderstood that the trigger fund was a fix-income fund similar to the product of the
stream of rental income for REIT by explaining overview of business such as demand and supply of business in which the asset is located; 7 3.2 explain marketing policy and competitiveness of invested
offering convertible bonds at lower market price by explaining [i] worthiness of the benefit that the company is eligible to receive in comparison of the difference between offering price of convertible
board of directors indicating the necessity for an offer for sale of warrants at discount, and explaining the worthiness in terms of the benefits received by the company in comparison with the difference
’ decisions making; (2) explaining or revising information; When proceeding as prescribed in the first paragraph, the SEC Office shall temporarily stop calculating the period of the effectiveness of the
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
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. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
its behalf, immediately inform the SEC Office of the postponement of redemption payment and submit a report explaining the reasons of the postponement as well as proof of approval of the mutual fund