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
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
exemption has been granted by the SEC; (4) being a director, a manager or a person with power of management of any other securities company; (5) having been removed from a position of chairman, director or
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the
exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption
suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office
securities company shall have the following qualifications: (1) Having academic qualification and work experience in accordance with the following rules, except being granted an exemption by the Office: (a) In
wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual