such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases
suitable investment or transaction; (4) investment analysis article conducted by the intermediary ; (5) informative disclosure or relevant services provided to the client after investment or entering into
of asset allocation and suitable investment or transaction; (4) investment analysis article conducted by the intermediary ; (5) informative disclosure or relevant services provided to the client after
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...