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
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
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
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
Statement.” - Include the following statement in the case of an offer for sale with green shoe option “The issuer or the existing shareholders (as the case may be) shall grant the purchasing right to the
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling