deliberation or gross negligence. Notified this 21st day of November 2012. - signature- (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Note: please note that the
. - Signature - (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission 3 Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 44
Notification at the first opportunity but not later than 2 years as from the effective date of this Notification. Notified this 17th day of May 2013. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General
Notification. Notified this 17th day of May 2013. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Capital Market Supervisory Board Note: please note that the contents added in brackets [….] have only
shall amend such agreement in compliance with the regulations at the earliest occasion but not later than 1 January 2017. Notified this 10th day of November 2014. (Vorapol Socatiyanurak) Secretary-General
agreement in compliance with the regulations at the earliest occasion but not later than 1 January 2017. Notified this 10th day of November 2014. (Vorapol Socatiyanurak) Secretary-General Office of the
has been suspended by the order of the competent officer or the authority under law. Notified this 9th day of April 2015. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and
, 2009, shall mean reference to this Notification. Notified this 6th day of November 2012. -signature- (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Note
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...