the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
functioning of internal control as intended. Questions Yes No 13.1 The company specifies information required for business operations. The information should be from both internal and external sources, which
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014. The SEC therefore has suspended him from functioning as capital market
inconsistent with normal market condition and cause disruption or delaying the functioning of the trading system of the trading venue, is liable to violation of the Securities Law. In addition, the amendments
from all sectors, leading to a well-functioning capital market ecosystem in current conditions and into the future. Our collaboration will enhance market efficiency and contribute to the development
functioning of the financial markets. (i) “Enforcement Purpose(s)” means a purpose referred to in Paragraph 10(a) of the IOSCO MMoU. (j) “Hong Kong” means the Hong Kong Special Administrative Region of the
knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as