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 of the Office
/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 2. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management 06/08/2009 16/08/2009 2. Notification of the Securities and Exchange Commission 1
of the securities companies dated 30 May 2000, shall be repealed. Clause 2. In this Notification, “major shareholder” means a person who holds shares, notwithstanding directly or indirectly, exceeding
companies dated 30 May 2000, shall be repealed. Clause 2. In this Notification, “major shareholder” means a person who holds shares, notwithstanding directly or indirectly, exceeding ten percent of voting
for Registeration of Person Qualified to be a Mutual Fund Supervisors 8. Report/Form (Notification of Securities and Exchange Commission) Certified Statement Form Relating to Acting in Compliance with
Redeeming Units of Foreign Collective Investment Scheme in case of Institutional or High Net Worth Investor dated 12 August 2012 shall be repealed. Clause 2 In this Notification: The terms “institutional