/2006) (Synopsis) 26/09/2000 01/01/2001 4. Notification of Capital Market Supervisory Board 5/2556 15/02/2013 01/04/2013 5. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
(codified as of 08/10/2004) (Synopsis) 23/01/2004 06/01/2004 Notification of the Office of the Securities and Exchange Commission SorThor./Khor. 40/2547 Re: Form of Applications for Registration to be a
e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Business Personnel dated 15 September 2010, which is non-compliance with Clause 23(5) and a prohibited characteristic of capital market
No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and the 3rd category prohibited characteristics of the
/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010 which were in violation to the Clauses 23(2) and (3) and were the 3rd category prohibited characteristics of
characteristics of personnel in the capital market business of the 3rd category under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of