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

independent directors, and disclose complete information in their annual reports. Lately, most corporate governance assessments conducted by several foreign agencies were comparative studies with referable

แรกขึ้นไป -> credit rating investment grade ขึ้นไป ไม่จำกัดอัตราส่วน (ข้อ 57 ประกาศ สน. 24/2552) company limit ≤ 35% (ข้อ 60 ประกาศ สน. 24/2552) (เฉพาะกรณีที่มี rating เป็นไปตามข้อ 1.3) เหมือนเดิม

an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel

sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit

derivatives contract according to Clause 5: (1) having sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have

อสังหาริมทรัพย์ (property sector fund) อย่างไรก็ดี กองทุนรวมที่เน้นลงทุนในภาคอุตสาหกรรมใดเป็นการเฉพาะจะต้องเปิดเผยความเสี่ยงให้ชัดเจนด้วย 2.2 ผ่อนผันอัตราส่วนการลงทุนในกลุ่มบริษัทเดียวกัน (group limit) เพื่อ

involved;  Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea

professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code