throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
statements or related reports to the SEC/ SET. 5. A representative is appointed in Thailand throughout the term of the bonds. 6. There is no ground to suspect that the lead regulator of the capital market of
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of
Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for making an investment decision, or misled investors
of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for
in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working