Commission SorThor./Khor. 40/2547 Re: Form of Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor 19/10/2004
Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 9. Notification of Capital Market Supervisory Board 63/2552
/2006) (Synopsis) 26/09/2000 01/01/2001 4. Notification of Capital Market Supervisory Board 5/2556 15/02/2013 01/04/2013 5. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
(codified as of 08/10/2004) (Synopsis) 23/01/2004 06/01/2004 Notification of the Office of the Securities and Exchange Commission SorThor./Khor. 40/2547 Re: Form of Applications for Registration to be a
e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Business Personnel dated 15 September 2010, which is non-compliance with Clause 23(5) and a prohibited characteristic of capital market
No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and the 3rd category prohibited characteristics of the