operations, and investments by holders of securities in the issuer, in a section headed "Risk Factors". The issuer is encouraged, but not required, to list the risk factors in the order of their priority to
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept
management company who is authorized by the management company to make decisions regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual
in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the
Bangkok, September 30, 2008 ? The SEC has sent a circular to all securities companies calling for their cooperation in disclosing material information in their securities research including (1) the