Capital Market Supervisory Board No. To r Lor Thor. 11/2559 Re: Rules on Personnel in the Capital Market Business (No.4) dated 27 April 2016 (effective on 16 Mary 2016). 4 “investment consultant”9 means a
could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment
financial advisor list of Securities and Exchange Commission (the “SEC”) as a reference price to determine the sale price of such newly issued ordinary shares to Private Placement Investors and assign the
by a financial advisor who is under the financial advisor list of the SEC as a reference price to determine the sale price of such newly issued ordinary shares to Private Placement Investors and assign
assessed by a financial advisor who is under the financial advisor list of Securities and Exchange Commission ( the “SEC” ) as a reference price to determine the sale price of such newly issued ordinary
hold the real estate in compliance with the law of such foreign jurisdiction, and the opinion of a legal advisor who is an expert in the law of such foreign jurisdiction shall accompany the due diligence
) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 In cases where the securities intermediary in the category of investment consultant
”, “greenfield project”, “financial advisor”, “debt financing” and “associated person” shall be construed as accordingly determined by the Notification of the Capital Market Supervisory Board on the Offering of