Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application

for GJS is not reasonable price. As the said offering price is nonetheless not lower than 90% of the GJS market price, the price is considered acceptable. The aforesaid information is significant to

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

? Yes No If “Yes”, please specify criteria of acceptable index (please tick where applicable): The index is recognized by a member of the World Federation of Exchange and the index constituents are

World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by

strictly cautious and accountable for their own action. However, forward looking statements based on actual, not distorted facts available at the time, is permissible even though the outcomes afterward turn

, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors

investors do not realize that it is not permissible for investment consultant, with or without authorization from investors, to make decision in securities and/or derivatives trading on behalf of them

juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives broker investing in

shall also means any juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives