Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(2) and the prohibited characteristics of the
. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) 17/01/2005 01/03/2005 2
01/11/2005 2. Notification of the Securities and Exchange Commission 37/2548 (Synopsis) 13/09/2005 01/11/2005 3. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553
following Notifications shall be repealed: (1) The Notification of the Capital Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re: Requirements for Securities Company to Take Action concerning
shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11
Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions, and Procedures for Establishment of Risk Management System for Business Continuity of Securities Companies dated 28 April 2008 issued by
. KorThor/Khor/Dor/Nor. 25/2553 Re: Repeal of Notification of the Securities and Exchange Commission Relating to Preparation of Securities Company’s Account By virtue of Section 14 and Section 105 of the
SorThor/Nor/Dor/Khor 11/2551 Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies 28/04/2008 01/10/2008 Contact The
/02/2002 01/02/2002 2. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009