notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and
is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
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 ....................................................................................................................................................... .................
have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management
that are complete, clear and enforceable by law and sufficient for the fund to operate or to procure the benefit upon. (b) arrange for an appraisal on the infrastructure asset in accordance with the
agent) รวม หมายเหตุ การมีส่วนร่วมในการกำหนดราคา หมายถึง การมีส่วนร่วมในการกำหนดราคาเสนอขายหลักทรัพย์ เช่นมีส่วนร่วมในการกำหนดกรอบราคา หรือ กำหนดช่วงราคาเพื่อทำ Book Building เป็นต้น แก้ไขจาก
Marketing Representatives of Private Funds dated 5 January 2005, published in the Government Gazette, Book 122, Special Section 5 Ngor, dated 17 January 2005 The Notification of the Securities and Exchange