Executive of Securities Companies 05/11/2008 16/11/2008 7. Notification of the Office of the Securities and Exchange Commission 12/2542 (Synopsis) 05/10/1999 8. Notification of the Office of the
01/04/2014 Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01
Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015 Notification
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries 06/09/2013 01/04/2014 Notification of the Office of the Securities and Exchange
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange
securities business in the category of private fund management; (6) “ gold ETF ” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning
business in the category of private fund management; (6) “gold ETF” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning Establishment of
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force