Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
meeting attendance fee and director reward, the amounts of which vary according to the Company's operating results). In cases where any director also receives remuneration as an executive under (b), make a
of Directors and the total number of directors, the proportion of independent directors compared with the total number of directors and the proportion of non-executive directors compared with the total
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
nor shall they certify the accuracy and completeness of the information contained in the Registration Statement. The liability for certification of the accuracy and completeness of the information
fund and provident fund. “ executive ” means executive under the Notification of the Capital Market Supervisory Board concerning Qualifications and Other Prohibited Characteristics of Directors and
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of