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

e-service Online Submission See canceled document Business Operation Rules >> Accounting and Financial Statements (Section 105, 106)   Type Title Section See Document Status Notified Date Effective

e-service Online Submission See canceled document Business Operation Rules >> Reporting Requirements (Section 109)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Business Operation Rules >> Anti-money Laundering   Type Title Section See Document Status Notified Date Effective Date 1. Circular  Kor Lor Tor

e-service Online Submission See canceled document Business Operation Rules >> Information Technology   Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office

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

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

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