: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
) receiving proceeds transferred from provident funds (PVDs) or other RMF; (3) Other cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed
) receiving proceeds transferred from provident funds (PVDs) or other RMF; (3) Other cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed
unitholders The unitholders are investors who transferred from PVD. ( 6 ) A ny other conditions as approved by the SEC and such classification is practical and for the interest of the unitholders in general
grounds to suspect that the directors, executives, and major shareholders having other interest which may be in conflict with the best interest of the business or having benefits transferred from the
unitholders The unitholders are investors who transferred from PVD. ( 6 ) A ny other conditions as approved by the SEC and such classification is practical and for the interest of the unitholders in general
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred