Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
Notified Date Effective Date 1. Notification of Capital Market Supervisory Board Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign
instruments or financial derivatives, whether in long and/or short position. *** (1) Notifications of the Securities and Exchange Commission No. Kor Thor. 15/2567 Re: Capital Maintenance of Business
UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557
Exchange Commission No. Kor Thor. 25/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee By virtue of Section 14 of the Securities and Exchange Act B.E
Securities and Exchange Commission Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2560 Re: Rules, Conditions and Procedure for Applying for License and Granting of