…………………………………….……… - provide a statement that the information in form 69-SUPPLEMENT-FD submitted to the Office of the Securities and Exchange Commission is considered to be a part of form 69- BASE-FD which becomes effective on
to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact service or back office service; “Securities
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person who provide back office service
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
.............................................................. 17 4 5 I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS A. Directors and Senior Management1 Provide the names, nationality, addresses and functions of the issuer's directors and senior
Omission and Acquisition and Disposal of Assets dated 9 March 2020 Reference is made to the Board of Directors’ resolution of E for L Aim Public Company Limited (“the Company”) held on 9 March 2020 that
stakeholders. This type of information, when combined with financial information, can provide valuable insights to the overall quality of management which is a critical factor in the appraisal of a firm’s
during the last 90 days prior to this offering: No Yes – provide details on the number of shares / reserved shares for conversion of convertible securities and conversion price. Par Value
provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision