Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
Commission Remarks : The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and
company or its subsidiary which may be misleading or in concealment of the any material fact which should have been expressly disclosed which may affect the decision of shareholder, investor or related
ลงทุน บลจ. ต้องดำเนินการแก้ไข รายละเอียดโครงการหรือข้อผูกพันก่อน (3) การรับรองกระบวนการทำงานที่เป็นอิเล็กทรอนิกส์ ปัจจุบันหลักเกณฑ์ของสำนักงานที่เกี่ยวข้องกับการแจกจ่าย fact sheet หนังสือชี้ชวน การจัดส่ง
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of thirty days, the Office may extend the period for consideration as needed. When