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...

of importance of the objectives. If the raised fund this time is inadequate for the objectives of spending as earlier specified, disclose the sources of fund for further fundraising. 2. In case of