offence under Section 89/7 in conjunction with Section 89/10 and Section 89/11, and liable to the penalties under the first paragraph of Section 281/2 of the Securities and Exchange Act of 1992. The
(1) of the of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2010. The SEC
, effective from January 10, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
Notification. Clause 10 This Notification shall come into force as from 1 February 2010. Notified this 1st day of February 2010. 4 -signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the
the Securities and Exchange Commission 10/2546 10/07/2003 01/08/2003 6. Notification of the Office of the Securities and Exchange Commission 6/2544 11/01/2001 01/01/2001 Report/Form
/2553 Securities Companies and Derivatives Business Operators Holidays in 2011 19/08/2010 19/08/2010 4. Notification of the Office of the Securities and Exchange Commission SorThor 4/2552 Special