commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its

indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify

action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information

infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN

such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply