strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
for approval: 1.1 The position applied for approval: O Director: O having power O having no power O independent director O Manager: 1.2 Relationship with the shareholder or group of shareholder, such as
and participating dealer of ETF in the fields provided above. Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19
Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of
director is also an independent director or member of the audit committee or any other committee. In addition, specify the number of the board's meetings and the attendance of each director during the past
personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term
also an independent director or member of the audit committee or any other committee. In addition, specify the number of the board's meetings and the attendance of each director during the previous year
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor