SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
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Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their functions pursuant to such policy. Clause 18 The
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
number of the Warrants will not affect the Warrant holders and the shareholders of the Company in terms of control dilution or price dilution. The Company will not be required to arrange for a meeting of