(name of agency)....…………………....……..…..(document attached) (if any) O no 6.14 Pending under prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be
denying or limiting the securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there
securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there shall be a statement requiring
' Meeting No. 2/2020 on the restructure of the shareholding in subsidiary companies 28/02/2020 21:57 Report of the resolutions of the Board of Directors on capital increase, connected transaction, omission of
Omission and Acquisition and Disposal of Assets dated 9 March 2020 Reference is made to the Board of Directors’ resolution of E for L Aim Public Company Limited (“the Company”) held on 9 March 2020 that
securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing investment advice to
, knowledge, understanding and experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening