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
intermediary who has been rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of
. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean
. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the
Notification to the SEC Office within the specified period, the offeror may request a waiver in written form to the SEC Office before the expiration of the submission period by demonstrating reasons for request
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification
investors and list all units on the exchange within three years from the date of completion unless an exemption is granted by the SEC Office. The funds investing in a greenfield project under (2) and (3) of
the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of
total aggregate amount of investment in shares shall not exceed sixty percent of the total investment of the intermediary unless a waiver is granted by the SEC Office. The investment fund under Paragraph