Describe material events in the development of the issuer’s business that could have an impact on its ability to fulfill its obligations on the debt securities or affect its solvency. Include discussion

characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by

 executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or public limited company for operating securities business in the category of venture

and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the

coordinating with other units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence

management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy

, summon or any other document relevant to the applicant, and shall be able to demonstrate that such representative has ability to perform the assigned duties. In this regard, the representative thereof

independent qualified valuer and should be dated not more than 6 months before date of lodgment of prospectus. E. Subordination and limitation of rights 1. The ability of debt security holders to enforce their