Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the

Office in the format of the capital maintenance report and explanation provided on the website of the SEC Office, in accordance with the rules and within the period of time as follows: (1) in case of

concerning personnel . Clause 7 1 The SEC Office would deliberate the application for obtaining an approval to appoint a person to be personnel in the capital market business within 5 business days as from the

. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of

securities company under the first paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio

. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section

services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each

Office, no later than 31 December 2019. In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within the specified period, the intermediary

/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription

capital ” means liquid capital deducted by risk haircuts ; (3) “ liquid capital ” means liquid assets deducted by total liabilities ; (4) “ liquid assets ” means the total sum of the following assets: (a