on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
the bond representative the right to file legal proceedings against the bond issuer without convening a bondholders’ meeting in the event of default and on the condition that the bond representative has
certain conditions precedents before enter the Transaction in regards of risk managements in conflict of interests, and the key terms are as follows: Condition Precedents 1) Undertaking that after the
intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or
Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client; (b) is inconsistency or inappropriateness with conditions of such intermediary’s business; (c) is
Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance
specified in the SEC Office Notification No. Sor Shor. 39/2553 to be in line with the current situation. The amendments aim to facilitate high potential auditors’ entry into the capital market to
Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person