Notification. Clause 9 In cases where it appears to the SEC Office that any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with
any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with this Notification or has improper conducts, the SEC Office may
company shall be authorized to terminate the agreement on the appointment of the fund supervisor; (5) provision that in the case that the management company fails to request the unitholders’ resolution for
originator possesses characteristics that are inconsistent with Clause 24. (2) the asset trustee fails to act in compliance with the provisions under Clause 27. Chapter 3 Private Placement of Sukuk in Thailand
or fill up additional information shall be specified. If the applicant fails to do so within such period, the SEC official will return the appilcation and evidentiary documentation to the applicant. In
condition, or are inappropriate or may violate the law governing derivatives; or if the client fails, upon request of the Derivatives Exchange, the Clearing House or the Office of Securities and Exchange
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
distributing documents or advertisements produced by the securities company. Clause 14. In cases where it appears to the Office that the securities company fails to comply with the advertising rules prescribed
Management 4 Company fails to comply with such agreement, the local intermediary shall not make any additional offerings of the Hong Kong Covered Funds under HK-TH MRF that such Hong Kong Covered Management