Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and document about securities trade completely and up date, and keep
the SEC Office both printed document and electronic form shall contain the correctly consistent statement and shall not contain any false statement or conceal any material facts which should have been
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, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
sale or transfer of the important parts of the business of the Company to other persons pursuant to Section 107 (2)(a) of the Public Limited Companies Act B.E. 2535 (1992) (as amended) with the value
to gather the names of shareholders under Section 225 of the Securities and Exchange Act B.E. 2535 (as amended) by closing the share register book and suspension of share transfer, as well as to amend
subsidiary of the Company (a company in which the Company holds 100 percent of the total ordinary shares). In this regard, MERCURIA shall pay the total share transfer consideration to the Company in an amount
is not entitled to vote on such matter. However, in July 2018, the Company has purchase and accepted a transfer of SUTGH’s entire business (the “EBT Transaction”), which are assets and debts, including
transfer to the client’s margin account and record as additional money or listed securities deposited by the client, as agreed upon with the client; (4) 1011 determine the types of asset which the client may
regarded as a transfer of business in essential part pursuant to Section 107 (2) (a) of the Public Limited Companies Act B.E. 2535 (1992) (as amended) (the “Public Limited Companies Act”) and is regarded as