| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records

Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.3) B.E. 2546 (2003) which contain certain provisions relating to restriction of rights and liberties of persons, which Section 29

provisions shall not apply to transactions for a mutual fund for a specific purpose with a mutual fund management company or a connected person . Clause 7 3 Repealed. Clause 8 In the case where a provident

disclosure rules for the lists of shareholders and unitholders in the case of listed companies, trusts and mutual funds. The amendment under (1) will take effect from 1 January 2025 while most provisions of

in the future.  ** The seven relevant notifications are as follows:   (1) Notification of the Securities and Exchange Commission No. Kor Jor. 16/2567 Re: Exemption of the Provisions regarding Public

of Net Capital Calculation of Business Operators and Provisions in Cases of Inability to Maintain Net Capital https://publish.sec.or.th/nrs/10846s.pdf, together with Appendix 1: https

the provisions of Section 143, Paragraph 1 of the SEA, passed a resolution, by virtue of the SEA’s Section 143, Paragraph 2, to propose to the Minister of Finance a recommendation for consideration to

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

provisions of the second and third paragraphs of Section 134 in conjunction with the first paragraph of Section 133 of the SEA.Due to the fact that those four offenders are considered capital market business

provisions of the said Act may be subject to civil sanctions against the offender.   Details of civil sanctions and associated procedures are available at: https://www.sec.or.th/EN/pages/lawandregulations