appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

. “Minister” means the Minister in charge of the implementation of this Act. Section 4. The Minister of Finance shall be in charge of the implementation of this Act, and shall be empowered to appoint the

fund, the nature of investors, including on the basis of diversification of risks, the Office, upon the approval from the SEC, shall have the authority to issue notification to specify types of

shareholders (if any), and the rights of retail investors to appoint directors. (Specify whether the appointment of directors is based on the cumulative voting pursuant to the Law on Public Limited Companies or

such securities and the right/total share percentage), including contribution to the provident fund, as prescribed in the guidelines under (1). 8.5 Personnel Specify the total number of the Company’s

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this

Capital Market Supervisory Board may specify that such signatures may be stamped by machine or by other means. In such event, the rules and procedures as specified in the notification of the Capital Market

Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling