accordance with the criteria prescribed and notified by the SEC Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________
enhance risk management effectiveness. Board of Directors Risk Management and Control Units Enterprise Risk Management Division Customer and Enterprise Service Fulfillment Division KASIKORN BUSINESS
1 (-Translation-) Ref. No. IRS.025/2019 October 31, 2019 Subject Acquisition of Shares in Hello Bangkok LED Co, Ltd., which is an Assets Acquisition Transaction of the Company, Issuance and Offering of the Newly Issued Ordinary Shares of the Company through a Private Placement which is a Connected Transaction, Capital Reduction, Capital Increase, Entering into the Right to Sell Advertising Media Agreement which is a Connected Transaction, Appointment of the Independent Financial Advisor and Call...
additional requirement for compliance by the applicant. Chapter 4 Conditions for approval _______________________ Division 1 General provisions _______________________ Clause 22 An approved person under
____________________ Division 1 Application for and Granting of Approval of Financial Advisor ____________________ Clause 46 Any person wishing to become a financial advisor may apply for an approval with the SEC Office
actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division Approve risk appetite and all risk management policies and guidelines Oversee
of the registration statement and draft prospectus as prescribed in Part 3 have been met. Chapter 2 Approval Criteria __________________ Division 1 Offering for Sale of Units of ASEAN Collective