must also take into account the protection of investors. Regulatory Suumary The criteria for approving ESOP apply to the following business and securities: Business: Public company limited incorporated
entitled to vote Shareholders who veto the decision are not more than 10 per cent of the total number of votes of shareholders who attend the meeting Public Offering (PO) Secondary Public Offering (SPO
of mutual fund (1) Upon completion of the initial public offering (IPO), if the number of unitholders are less than 35, or the sale of the investment units does not comply with the rules, the approval
of mutual fund (1) Upon completion of the initial public offering (IPO), if the number of unitholders are less than 35, or the sale of the investment units does not comply with the rules, the approval
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
56 of the Securities and Exchange Act and being audited or reviewed by an SEC-approved auditor. 3.1.1 Preparation and submission of financial statements for a public limited company applying
Institutional Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the
) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the
considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are regarded as “executives". Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
allocation of shares for Initial Public Offering (“IPO shares") which are allocated to sponsors and related parties (“RP") are prescribed to prevent concentrated allocation to sponsors and RP which will enable