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
intermediary who has been rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of
. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean
. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the
Notification to the SEC Office within the specified period, the offeror may request a waiver in written form to the SEC Office before the expiration of the submission period by demonstrating reasons for request
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
investors and list all units on the exchange within three years from the date of completion unless an exemption is granted by the SEC Office. The funds investing in a greenfield project under (2) and (3) of
total aggregate amount of investment in shares shall not exceed sixty percent of the total investment of the intermediary unless a waiver is granted by the SEC Office. The investment fund under Paragraph
เพิ่มจำนวนหุ้นรองรับสำหรับกรณีขาย warrant PP แบบไม่โอนเปลี่ยนมือ จากที่จำกัดไว้ที่ 30% เป็น ไม่เกิน 50% โดยอาจระบุให้เพิ่มเรื่อง Veto right ( เสนอให้บริษัทขอ waiver ในกรณีที่บริษัทมีการล้างขาดทุนสะสม ซึ่ง
Notification with respect to the management of any mutual fund that offers investment units for sale in the country and abroad, the SEC Office shall have the power to grant a waiver of compliance with such rules