Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange (Codified) Public Offering (PO) Secondary Public Offering (SPO) Private Placement (PP) of shares: in case of
shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
(FASB). Such financial statements must be audited and given opinions by authorized auditors in the countries where the investment units are offered. This information must be clearly specified in the
the investment units are offered. This information must be clearly specified in the scheme. 4.3 In the case of a mutual fund that will be terminated within 15 months from the registration date; or the
: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
categorized in different classes by types of returns, refunds, fees or expenses. The name of the REIT shall reflect key characteristics of the trusts. REIT units are required to be listed in SET. Offer for
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
for an approval. The following qualifications will be considered: 1. Financial statements shall be prepared in accordance with the financial reporting standards that are acceptable to lead regulator and