securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For

refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are

certain percentage of the debt securities have instructed the representative to take certain action. 4. Disclose whether the representative may also require indemnification before proceeding to enforce a

; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an approval to be a custodian, and the Office may use such information for the

8 to Clause 11, the Office shall proceed as follows: (1) Put on probation; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an

to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options

the Derivatives Act B.E. 2546 (2003) and Section 8(1) and Section 76 of the Trust for Transactions in Capital Market Act B.E. 2550 (2007) which contain certain provision in relation to the restriction

unit holders by calculating returns that vary according to a formula of calculation or a certain condition that is not easily understood by retail investors; “notification on investment” means the

following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately

the potential impact to each class of unitholder; (4) if a class of unit may be redeemable, the trust instrument shall contain a clear condition on the terms and period of the redemption, and, the