e-service Online Submission See canceled document Business Operation Rules >> Accounting and Financial Statements (Section 105, 106)   Type Title Section See Document Status Notified Date Effective

e-service Online Submission See canceled document Business Operation Rules >> Anti-money Laundering   Type Title Section See Document Status Notified Date Effective Date 1. Circular  Kor Lor Tor

e-service Online Submission See canceled document Business Operation Rules >> Others   Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Securities and

Securities and Exchange Commission  Sor Thor. 37/2559 Rules in Detail on Establishment of Information Technology System   12/09/2016 01/09/2017   Notification of the Office of the Securities and Exchange

. 38/2553 Rules for Custody of Customer Assets and Essential Details of Custody Agreement (Synopsis) 15/09/2010 01/10/2010    Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi

Supervisory Board  Tor Thor. 60/2561 Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party   01/10/2018 16/11/2018   Notification of the Office of the

the Office of the Securities and Exchange Commission  Sor Thor. 15/2558 Rules in Detail related to Proprietary Trading of Intermediaries   07/04/2015 16/05/2015    Contact The Securities and

Board  TorThor. 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries   26/06/2013 16/07/2013   Report/Form (Notification of Securities and

Office of the Securities and Exchange Commission  Sor Thor/Nor. 45/2559 Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of

Supervisory Board  Tor Thor. 60/2561 Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party   01/10/2018 16/11/2018   Notification of the Office of the