. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and
reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
reference. Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004; (5) Clause 4(3) of the Notification of the
under the principles similar to the rules on risk management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004; and (6) Clause 3(1) of the Notification of the Securities and Exchange Commission No. KorKhor. 42
. 20/2547 Rules for Derivatives Fund Management 16/04/2004 01/05/2004 2. Notification of the Office of the Securities and Exchange Commission 12/2549 31/03/2006 01/05/2006 3. Report/Form
notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission