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
). 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
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason and a waiver is granted by the Office: (1
. 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
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
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