Office, the claimant shall submit a statement of claim in the Form OrYor. 1 prescribed by the Office, together with documents and evidence as specified in such form and shall make sufficient copies of the
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
registration statement contains any false statement or omits to state any material information which should have been disclosed, the unitholders shall be entitled to claim damages from the CIS operator pursuant
disclosed, the holders of the securities who have purchased the securities within one year from the effective date of the Registration Statement are entitled to claim damages from the issuer or the owner of
Securities and Exchange Commission regarding filing or the exemption from filing the registration statement of prospectus shall apply mutatis mutandis to such terms. The separation of the client’s assets by
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or
Financial Institution Development Fund; (7) a juristic person having total assets of five hundred million Baht or more, according to the latest financial statement audited by an auditor; (8) a juristic person
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return