Act 2535 4 12/03/1992 16/05/1992 2. Notification of the Securities and Exchange Commission Kor Thor. 7/2539 Shareholders Structure and Shareholding Proportion of a Limited Company or Public
of the Office of the Securities and Exchange Commission Sor Thor/Nor. 45/2559 Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
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
Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board TorLorThor. 8/2557
Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of the Office of the Securities and Exchange Commission Sor Thor. 15/2558 Rules in Detail related to Proprietary Trading of
. Kor Thor. (Wor) 23/2557 Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism 08/08/2014 Contact The Securities and Exchange Commission, Thailand
Exchange Commission Kor Thor. 9/2556 Segregation and Management of Clients Assets In Case of Intermediary Being under Receivership by Court Order 18/10/2013 01/11/2013 Contact The Securities and