counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts that may create conflict of interest to the fund as the following: (1
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
Issuance and Offer for Sale of Securities . (b) in case of reporting the result of the sale of debt securities, the terms “ debt securities ” “ short-term bonds ” “ short-term bills ” “ institutional
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
materially affects the issuance and offer for sale of securities or the management of the Company, and such agreement is co-signed by the Company, identify such agreement and clarify its essences and impacts
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the