Effective Date 1. Notification of the Securities and Exchange Commission   Rules and Procedures for Applying for License and Registration of Association related to Securities Business   03/08/1992 2

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

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Effective Date 1. Notification of the Office of the Securities and Exchange Commission  Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies

Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  Kor Thor. 18/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory

e-service Online Submission See canceled document Securities Underwriter Business >> Licensing (Section 90)   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities

e-service Online Submission See canceled document Securities Underwriter Business >> Fees (Section 14, 19)   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and

e-service Online Submission See canceled document Business Operation Rules >> Net Liquid Capital Rule (Section 97)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Business Operation Rules >> Approval & Qualifications (Section 90, 91)   Type Title Section See Document Status Notified Date Effective Date 1. Act