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securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the
statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8
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
plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the
continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3
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
are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management
request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for