) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimums of particulars and
intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimum of particulars and
by the notification of the Office of the Securities and Exchange Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
ข้อมูลความเสี่ยงเกี่ยวกับการซื้อขาย สัญญาซื้อขายล่วงหน้า (risk disclosure statement) โดยมีรายการและสาระสำคัญอย่างน้อยตามแนวทาง ของเอกสารการเปิดเผยข้อมูลความเสี่ยงที่แนบท้ายประกาศนี้ ข้อ 4 ประกาศนี้ให้ใช้
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4