effects on the financial statements of undetected misstatements, if any, could be material but not pervasive ( 2.2.1 Circumstances beyond the control of the entity (paragraph number........) ( 2.2.2

operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline

of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD

presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity

notes, convertible bonds, or warrants could redeem or exercise their rights anytime during the exercise period, the issuer shall submit the report under the first paragraph to the SEC Office within 15

respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund

” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by

Notification of the Capital Market Supervisory Board No. TorThor. 56/2559. Division 2 The Third Party Permitted to be a Service Provider for Outsourced Function Clause 10 5 An intermediary could outsource the

not affect any operations; (c) perform an audit of information systems outside business hours if such audit could affect system availability. Chapter 5 Additional Criteria _________________ Clause 24 An

specify under Clause 18 (1) of the Notification on Standard Conduct of Business ; (3) a person of whom a management company could be aware that if the management company enters into a transaction for a fund