ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By
person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those identified as a holding company or a nominee account, identify the
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
estimated period of spending such amount. 4. Others: Ex. As working capital Remarks: 1. Disclose the estimated net amount of the proceeds broken down into each principal intended use thereof, which can be
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
behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of