Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By virtue of Clause
?FILEID=dat/news/201805/18049764.pdf 1 ( Translation ) Ref. NEP146-2017 October 25, 2017 Subject : Resolutions of the Board of Directors approving the capital decrease, the capital increase, the allotment
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis. 2 Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is] financial