activities as specified by section 8 of Annex B in Appendix B-II-SEC Circular of the MoU? Yes No If “No”, please specify ____________________________________________________
.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the activities as specified by section 8 of Annex
the public prosecutor for filing a lawsuit in the Civil Court to seek the maximum applicable civil sanctions, which must not be lower than those specified by the CSC. Civil penalties and compensation
right to vote, excluding the votes of the shareholders having an interest in the matter in accordance with the Acquisition and Disposal of Assets Notifications; 2) all conditions specified under the share
Disposal of Assets Notifications; 2) all conditions specified under the share purchase agreement and the share subscription agreement have been satisfied which include capital increase of TSEO to Baht 1,850
disclose certain information as specified in List 1 attached to the Major Transaction Rules to the Stock Exchange of Thailand (the “SET”) immediately (details as appear in enclosure 1) and send a
or Dispositions, the Company is required to disclose certain information as specified in List 1 attached to the Major Transaction Rules to the Stock Exchange of Thailand (the “SET”) immediately
distribution to the customer, plain language and updated information shall be used and the date of making handbook shall be specified, no advertisement shall be permitted, and at least shall contain the
required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following disciplinary action