appeal? The SEC Office reconsider- action Revoke or amend the order Administrative Court The SEC Board consideration Is the appellant satisfied? The SEC Office imposes the sanction. Administrative Panel

unique characteristics of the injured class even though the characteristics of the damage are different.1 The Court may allow a class action to be conducted only when the Court is satisfied that the class

conditions have been satisfied: (1) being units listed and disclosed publicly on the SEC Office’s website which were examined by the SEC Office under the Notification of the Office of the Securities and

may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA

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

committee via other method and the meeting can be start sooner than mentioned above. If at least two committees requested for a meeting, the chairman should take any action to have such meeting to be held

capital market professionals is one of the Key Priorities of the ASEAN Capital Markets Forum ("ACMF") Action Plan 2016 – 2020 endorsed by the ASEAN Finance Ministers in April 2016, in order to contribute

undertake any action to cause the minority shareholders to sell their shares in RPV, totaling in the amount of 100 percent of the shares to BCPG Public Company Limited (“BCPG” or “Buyer”). The Company is the

Fund or CISs in Home Economy satisfied those stipulated in section 17 of the Passport Rules (Annex 3) of the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds

offer: ________________________________________________________________________ 7) Are the requirements for the offers of the Hong Kong Covered Fund in Hong Kong satisfied those stipulated in Appendix B