Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
conduct shall be disclosed in attachment for investors to understand and use them as guidelines for monitoring future business direction. 6.3 Material changes and developments regarding policy, guidelines
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities