4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification, or code of conduct
regulations of government agencies and specific regulatory authorities. The new criteria, coming into effect June 6, 2017, contain the following key points. - Expand the scope of operations for financial and
Commerce and/or the listing of the Company's newly issued ordinary shares on the SET. (3) To liaise with government authorities or related regulators, such as the SEC, the MOC and the SET and any related
issued ordinary shares on the Stock Exchange of Thailand (the “SET”) as well as contacting, coordinating and filing documents with relevant government authorities or other agencies (whether in Thailand or
documents with relevant government authorities or other agencies (whether in Thailand or overseas); and (5) Undertaking any acts necessary and relevant to complete the allocation of the newly issued ordinary
and file such applications or waiver applications, documents and evidence with any relevant government authorities and/or agencies and to list the newly issued ordinary shares on the Stock Exchange of
applications, documents and evidence with any relevant government authorities and/or agencies and to list the newly issued ordinary shares on the Stock Exchange of Thailand, as well as to carry out any other
U City Public Company Limited (Registration No. 0107537000459) 21 TST Tower Soi Choei Phuang, Viphavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand T: + 662 273 8838 F: + 662 273 8858 www.ucity.co.th Ref. No. U.SET 019/2017 October 30, 2017 Subject: Entire business transfer of Unicorn Enterprise Company Limited, capital increase, issuance of the U-W3 Warrants and U-W4 Warrants, issuance and offering of the newly issued preferred shares to be issued and offered to the existing shar...