system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate method and with sufficient details of the practice and the course of actions in exercising of voting
submission of a report for an accounting period. (5) Announcement of dividend payment such as in the case of closed-end funds listed in Stock Exchange must comply with the Stock Exchange rules. (6) Actions
respond to such changes or adjustments. 6.3 Please provide the names of the key responsible persons for these procedures and details of relevant actions. 6.4 Please describe communication methods between
of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and (3) and the prohibited characteristics of the personnel in the capital market business of the 3rd
Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and the 3rd category prohibited characteristics of the personnel in the capital market business under Clause 31(1
No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and the 3rd category prohibited characteristics of the
trading decisions for benefit of client without the client?s orders were in violation to Clause 20(2) of No. TorLorThor. 3/2555. The aforesaid actions were violation of Clauses 20(2) and 20(3) of No
Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of
consequently criminal punishment. If other actions of POLAR executives are found to be liable to any offence under the Securities and Exchange Act, the SEC shall take legal action strictly in due course
investment disposal that had a significant impact on the financial statements of the IPO applicant, and the payment of a large sum of consultant fee for services the applicant might never receive; such actions