control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be

to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall

compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and

additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production

the parties and clear performance where there is either a breach of contract or a triggered condition of acceleration clause. In cases where the lender is an institutional investor under Section 3 of

and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public

offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the

1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have

center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties