Inside brokers Weikai Li, Abhiroop Mukherjee, Rik Sen WHO SHOULD REGULATE INVESTMENT ADVISERS? Ben Charoenwong* National University of Singapore Alan Kwan Hong Kong University Tarik Umar Rice

. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT 1 AND ADVISERS II. DESCRIPTION OF MTN Program 1 III. RISK FACTORS 2 IV. MARKETS 2 V. TAXATION 2 VI. SELECTED FINANCIAL INFORMATION 3 VII. INFORMATION ABOUT THE ISSUER

or should have been known, but not exceeding two years from the effective date of registration statement.” แบบ 69-FD 2 CONTENTS Page I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS

CONTENTS Page I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS .......................... 5 II. DESCRIPTION OF MTN Program

DIRECTORS, SENIOR MANAGEMENT AND ADVISERS A. Directors and Senior Management ขอมูลเก่ียวกับกรรมการและผูบริหาร B. Corporate Secretary เลขานุการบริษัท C. Advisers and other parties ท่ีปรึกษาทางการเงิน และผู

out in a manner consistent with their own approach to stewardship. Accordingly, the Code also applies, by extension, to service providers, such as proxy advisors and investment consultants. 3. The FRC

จบัุน (ขอมูลขั้นต่ําท่ีกําหนดในมาตรา 69 และ70) I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS A. Directors and Senior Management ม.69 (8) ผูบริหารและผูถือหุนรายใหญของบริษัทท่ีออก หลักทรัพย

investment consultants imposed administrative sanction as Investment Consultant and Director & Executive. /2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative

, ADVISERS, AGENTS AND OTHER INDEPENDENT THIRD PARTIES A. Directors and Senior Management Provide the names, nationality, addresses and functions of the issuer’s directors and senior management. B. Corporate

and its representatives from licensing requirements under the Financial Advisers Act to conduct permitted financial advisory services in Singapore, pursuant to an MAS approved arrangement between the