Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
businesses as approved by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an
Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial
management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by the Office; (8) “Office” means the
” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by
According to the resolution of the Board of Director’s Meeting No. 8/2019 of Seven Utilities and Power Public Company Limited (“The Company” or “7UP”) held on June 25, 2019, the Meeting has approved for the
result in an inability to acquire the benefits to Company and for shareholders as when the investment was previously approved. In such case, it is viewed that the Company shall terminate or sell the
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
statement and draft prospectus filed with the SEC Office under Clause 7 shall be jointly prepared and certified by a financial advisor who is on the approved list of the SEC Office except an offer for sale of
needed for the calculation of the trust’s adjusted net profit; (e) other reasons as approved by the unit holders’ resolution; (3) the process to decrease the capital in compliance with the followings; (a