adjudication by the court of justice, respectively. In this regard, the SEC will monitor the progress of the legal proceedings and cooperate fully with relevant agencies to support legal enforcement under the
support or hinder the SEC’s proceedings; and records or past demeanors indicating unsuitability to serve as personnel in capital market businesses. The SEC reiterates that investors should regularly
management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC
Limited (VBB), (8) Chamni, and (9) Isres****. The SEC has therefore filed a criminal complaint against these nine persons with the DSI for further legal proceedings. In addition, the criminal complaint
addition, the Company would like to report the status of debtors, which are in the legal process as follows: 1. Pending Cases - There are 3 lawsuits pending in the court's proceedings, 1 civil case and 2
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request. Clause 11 This