Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
manager and the following work units: (1) A derivatives services unit; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
person under consideration; (2) punishment already served by the person; (3) impacts or damage to the company or the overall shareholders or benefits related to the facts or demeanors under consideration
) remuneration and punishment which is based primarily on service quality; (4) complete, clear and accurate sales process which must not mislead or be a nuisance to customers; (5) effective employee communications
/ appointing date) 1. ผูจัดทํา / Reporter หุนสามัญ (Common share) หุนบุริมสิทธิ (Preferred share) ใบสําคัญแสดงสิทธิที่จะซื้อหุน (Warrant) หุนกูแปลงสภาพ (Convertible debenture) หุนสามัญ (Common share) หุ