Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market

, subject to the prohibited characteristic of the auditor in the capital market under Clause 16(1) of the Notification of the Office of the Securities and Exchange Commission No. SorChor. 39/2553 Re

aforesaid provision, the SEC Office, by virtue of Clause 4(1) in conjunction with Clause 18(2) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and

, the SEC Office, by virtue of Clause 4(1) in conjunction with Clause 18(2) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for

companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or

companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or

companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or

. 2535 (1992), as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999), the SEC hereby issues the following regulations: Clause 1. In this Notification: “Fund” means any mutual fund or

of paragraph one and paragraph three of Clause 12 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management

and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended