earnings (EBITDA). Shareholders, including the majority shareholders, expressed their faith in the performance and future prospects of the Company and subscribed, in large numbers, to the warrants (IVL-W1
should prohibit retaliation by the CRA or an employee against any employees who, in good faith, make such reports. 2. CRA INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST A. General 2.1 A CRA should not
and an executive shall: (1) act in good faith for the best interest of the company; (2) act with proper purpose and; (3) not act in significant conflicts with the interest of the company. 1.3.2
course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the client or the ultimate beneficiary to identify oneself to the official of
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
shall apply unless a waiver is granted by the SEC Office: (1) in the case where the cause of inability to sign signature is the result of unconsciousness or inability to control oneself owing to physical
reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other persons, for example, seeking or exploiting any benefit for oneself
-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 September 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange ___________________ By virtue of Section 16/6 of the...