securities to become non-compliant to any law, rules, regulations, or requirements set out by the Securities and Exchange Commission, the Capital Market Supervisory Board, the SEC Office, or the relevant
/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the
Notification as a result of the offer for sale of debt securities; (2) Notification of the Capital Market Supervisory Board and Notification of the Securities and Exchange Commission concerning the Establishment
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in Capital Market. 3 “executive” means an executive under the Notification of the Capital Market Supervisory
14th Day of September 2010. - Signature - (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Chairman Capital Market Supervisory Board Note: please note
representative is inspected. 7 Law on Securities and Exchange means the Securities and Exchange Act B.E. 2535 (1992) ** This sub clause has been modified by the Notification of the Capital Market Supervisory Board