major operational disruption ends, the securities company shall notify the Office without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause
characteristics and may be subject to legal proceedings under the law governing derivatives and notifications issued by virtue of the said law. Clause 4 Other than upon the grounds of lack of qualifications or
a listed company; (3) being considered under an accusation or criminal proceedings by an agency with legal authority for an offense related to unfair activities against derivatives or securities
electronically by us under 1.2 can be referred to as evidence in legal proceedings and we shall not deny the existence of such information only because it is in an electronic form. 2 . We acknowledge and agree
therefore filed the complaints with the DSI for further legal proceedings. In addition, the 25 persons charged with the criminal complaints are liable to having untrustworthy characteristics as director or
forward the case to the Settlement Committee to consider fine penalties, and if they refuse to enter the settlement process, the SEC shall file a criminal complaint for further legal proceedings
file a criminal complaint for further legal proceedings. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules
as follows: 1. Pending Cases - There are 3 lawsuits pending in the court's proceedings, 1 civil case and 2 criminal cases. The civil cases, MAT is filed against the Civil Court of Thonburi according to
shall deliver all assets and documents related to the operation of fund supervisor to the new fund supervisor appointed by the management company without delay. When the Office notifies the proceedings or