Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 19/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Business B.E. 2551 (2008) 14 16/07/2008 01/08/2008 4. Notification of the Securities and Exchange Commission KorKhor 6/2551 Determination of Paid-Up Registered Capital of Person Applying for Securities
Securities Business B.E. 2551 (2008) 14 16/07/2008 01/08/2008 4. Notification of the Securities and Exchange Commission KorKhor 6/2551 Determination of Paid-Up Registered Capital of Person Applying for
connected person as specified in the first paragraph. 3 Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Tor. 44/2559 Re: Rules in Detail on the Prevention and
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; 2 Clause 2 In this Notification: “licensee” means: (1) person licensed to undertake securities business
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; Clause 2 In this Notification: “ licensee ” means: (1) person licensed to undertake securities business
who may have conflicts of interest,” “major shareholder” and “controlling person” according to the first paragraph (2) shall, mutatis mutandis, have the same meaning as defined in the Notification of