UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Money Market Fund,Super Savings Fund : SSF | Offering Date : 02/05/2006 - 08/05/2006

make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light

/ Frequent / Persistent 7 VE scale of assessment: Minor / Significant / High / Critical 8 VE scale of assessment: Non-communicative / Reactive / Remediative / Proactive 3  Verification – The KPI will be

on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1

mind with regard to board members‟ ability and willingness to discharge their duties to the company and to all of its shareholders. In Asia, persistent cases of expropriation, particularly of minority

C. Rembert, Ceres 4. Are investors already engaging on the company or industry and topic? Do your homework to make sure you are not duplicating effort, or that companies are not approaching an issue

material information which has not yet been disclosed to the public. 01/04/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :    

Consider ap the Compan Any other m r determinati is determined determination ry shares o proportionate ember 26, 20 ry shares to the Extraordi d of Directors ny person, aut mending date, for determina 3

”, “parent company”, “subsidiary” and “institutional investor” shall have the same definition as determined by the Notification of the Securities and Exchange Commission concerning Determination of Definitions

prohibited characteristics under Clause 5(5) mutatis mutandis; (2) having completed the training under the courses determined by the IB Club with the approval of the SEC Office. 11 Amended by the Notification