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
of the Office of the Securities and Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By
that this English translation is strictly for reference. _____________ Notification of the Securities and Exchange Commission No. Kor Jor. 18/2551 Re: Exemption from Filing of the Registration Statement
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
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
filing reports for all categories, commencing from the month in which the business operation ceases or is suspended and such securities company must not have any pending report. Such exemption shall desist
reports for all categories, commencing from the month in which the business operation ceases or is suspended and such securities company must not have any pending report. Such exemption shall desist when
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
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 respect
engagement in the securities business of investment advisory service (IA): amending the conditions for exempting from engaging in IA; adding exemption from engaging in IA for personnel of foreign business