made pursuant to the rules specified in the notification of the SEC.
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 76/2552 Re: Rules, Conditions and Procedures for Liquidation of Mutual Funds By virtue of Section 16/6 of the Securities and Exchange Act B.E
reference. The SEC, Thailand cannot 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’s electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to the persons controlling client derivatives trading, as well as the financial status