. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
/Documents/Auditor/leadership.doc The Derivatives Act The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
of the Securities and Exchange Commission No. Sor Thor. 37/2559. Re. Rules in Detail on Establishment of Information Technology System dated 12 September 2016 and Notification of the Office of the
any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorShor. 39
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification
operating system that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures
MDE01_2017_12Jan2018 Final (Translation) No. 01/2018 January 12, 2018 President The Stock Exchange of Thailand Re: Notification of the Resolution of the Board of Directors’ Meeting No. 1/2018 We