general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date: ______________________________________ b) The investment objective/policy

) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date

of Hong Kong ________________________________________________________________________ 6) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the

registrar to take a photo of the contract or make a copy of the contract for the clients, the securities registrar shall provide the desired documents and may charge the clients for expenses as deemed

December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client

DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate

SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement

Management Policy Department of the Securities and Exchange Commission, Thailand (“SEC”) to provide guidance to asset management companies (“AMCs”) regarding the Mutual Recognition of Funds between Hong Kong

However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes

during the last 90 days prior to this offering: No Yes – provide details on the number of shares / reserved shares for conversion of convertible securities and conversion price. Par Value