director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent

financial statements (paragraph........); ( 5.5 Significant mistakes in financial statements arisen after dissemination and the financial statements required restatement (paragraph........); ( 5.6 Others

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

during the period from fifteen days prior to the first offering date to the offering closing date or the date of providing overallotment shares in full, as the case may be, except for the dissemination of

providing over-allotment shares in full, as the case may be, except for dissemination of information relating to securities offering which is prepared by an offeror under the Notification of the Office of the

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial

client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the

and standards of conduct. Please be informed and act accordingly. Dissemination of the content hereof to all concerned parties would be highly appreciated. Should you have any query please contact the

mutual fund rating, the information relating to mutual fund rating and the information supporting such rating shall be kept for not less than two years from the date of dissemination. Clause 11/1. In