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

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

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

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 Currency

e-service Online Submission See canceled document Business Operation Rules >> Business Continuity Management (BCM)   Type Title Section See Document Status Notified Date Effective Date 1. Notification

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

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 Sandbox

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