2535   91 12/03/1992 16/05/1992 2. Notification of the Office of the Securities and Exchange Commission  SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as

2535   121 12/03/1992 16/05/1992 2. Notification of the Office of the Securities and Exchange Commission  SorNor. 14/2544 Qualifications of Mutual Fund Supervisors   02/04/2001 01/04/2001    Contact

Office   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act 2535   92 12/03/1992 16/05/1992    Contact The Securities and Exchange Commission, Thailand

and Qualifications   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act B.E. 2535   135 26/12/1999 30/03/2000 2. Notification of the Office of the

|- Approval |- Business Operations Rules |- Reporting |- Fees |- Circular    Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of

& Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays (section 110) |- Securities Registrar Business (section 222) |- Association Related to Securities

Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays (section 110) |- Securities Registrar Business (section 222) |- Association

| - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section 22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities

-ร่าง- UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:04 ​ ​ Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics