Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered units of the CIS; nor
represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered units of the CIS; nor
) a warning stating that “investment contains certain risks; investors are recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and
recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and retirement mutual fund, the securities company shall have a warning statement that
. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered
of non-compliance with the firm’s system of quality control. (c) conclusions drawn (d) deficiencies noted: type and frequency (e) remedial action proposed, including training (f) changes to control
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
of proposed representative in Thailand: _______________________________________________________________________ 20) Is such representative regulated by or acceptable to the SEC Thailand? Yes No Address