: Determination of Undertaking which is not Deemed to be A Derivatives Dealer 08/10/2004 20/10/2004 4. Notification of Capital Market Supervisory Board 45/2552 03/08/2009 01/09/2009 5. Notification of the
Commission 03/08/2009 01/09/2009 4. Notification of the Office of the Securities and Exchange Commission Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
/02/2002 01/02/2002 2. Notification of Capital Market Supervisory Board TorThor/Khor/Dor/Nor. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009
32/2552 03/08/2009 01/09/2009 2. Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 34/2547 Re: Operational Control and Information Technology Security of Securities
/08/2009 01/09/2009 2. Notification of the Securities and Exchange Commission 52/2545 05/11/2002 16/11/2002 3. Notification of the Securities and Exchange Commission 21/2544 12/09/2001 4
Capital Market Supervisory Board 63/2552 Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units (Synopsis) 03/08/2009 01/09/2009 3