which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
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. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
substance information of the executive summary as provided in section 1 of the registration statement together with the subscription forms. Clause 10 A securities underwriter shall not disseminate information
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause 12. During the period of thirty days from the offering
แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ (UNOFFICIAL TRANSLATION) PAGE 2 Summary of Types of Auditor’s Report on Audited or Reviewed Financial Statements Company’s financial
have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of inspection, scope of inspection, summary of the inspection
settled by means of arbitration and the following procedure the customer is able to proceed with in case of unsatisfactory results provided by the derivatives broker; (4) preparing a summary report in