e-service Online Submission See canceled document Derivatives Agent >> Risk Control Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory
e-service Online Submission See canceled document Derivatives Agent >> Conflict of interest Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Agent >> Complaint Handling Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
/2013 01/04/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
e-service Online Submission See canceled document Derivatives Dealer >> Know Your Clients Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Dealer >> Risk Control Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory
and Procedures for Dealing of Debt Securities (codified as of 25/10/2006) (Synopsis) 26/09/2000 3. Notification of Capital Market Supervisory Board 5/2556 15/02/2013 01/04/2013 4. Notification of
) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice
Securities and Exchange Act 2535 103 12/03/1992 16/05/1992 2. Act Securities and Exchange Act 2535 104 12/03/1992 16/05/1992 3. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557