rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
, structures, products or variables and terms of the derivatives; (2) benefits or returns to be received by the client from entering into a derivatives contract, potential earnings or loss, including details of
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders
follows: (1) disclosing the balance sheet, income statement and the auditor’s report at the office of the derivatives business operator; (2) announcing the balance sheet, earnings statement and the
of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in
fund is a retail fund, there should be a plan to offer extensively to the public e.g. distribution, advertisement promotion and budgeting. 2.2 In the case where the mutual fund is a non-retail fund
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
Part C: Distribution of NRI CIS and CIS Operator’s Local Representative Arrangement for Distribution 17) Units in NRI CIS will be offered/ marketed in Thailand by the following intermediaries who are