, effective from 9 November 2018; (3) In the case of {C}, she is prohibited from functioning as a branch manager responsible for capital market business, and the SEC also imposed a suspension
fund managers responsible for investment management and custody arrangements. This initiative also aims to enhance the capabilities of Thai business operators and support the further development of a
boundaries for the deeds so as to present to the Shareholders Meeting for their consideration. 4) The Parties mutually agree to be equally (50:50) responsible for any incurred fees and expenses in relation to
to have personnel responsible for soliciting, or giving advice related to derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
derivatives only with institutional investor counter party. Clause 4.3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
responsible for the work of a department in the company; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training
(2) (B) of the Public Company Limited Act. B.E.2535 (as amended), therefore, the Company shall be responsible to hold a Shareholders’ Meeting to consider to approve the entire business transfer, the