reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding
management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
beneficial facts or evidence in the trial of the case or the proceedings, or concealing or destroying the evidence of the case or giving false statements, etc.; Clause 4. A person having the prohibited
relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause 9 and Clause 10 for a minimum period of two years from the preparation date thereof
shall deliver all assets and documents related to the operation of fund supervisor to the new fund supervisor appointed by the management company without delay. When the Office notifies the proceedings or
securities company which prevents conflicts of interest or unfairness to clients under Clause 12(8)(d) of the Notification on Standard Conduct of Business shall include the following proceedings: (1
criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception