agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

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

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

regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client

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

------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์

respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree

name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent

, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives