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
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
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
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree
name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent
.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity
comply with the governing regulations, describe rectifying measures and compliance guidelines as well. 1.4 Relationship with major shareholders’ business In cases where the Company or the group of
the internationally-accepted information security standards; 3. measures on IT security, access control, and information disclosure; 4. audit of the cloud provider’s operation by an independent auditor