prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of Executives of Derivatives
laying out guidelines pursuant to the Notification of the Securities and Exchange Commission No. KorThor. 67/2547 Re: Initial and Maintenance Margins Requirements for Derivatives Trading in Derivatives
under or laying out guidelines pursuant to the Notification of the Securities and Exchange Commission No. KorThor. 67/2547 Re: Initial and Maintenance Margins Requirements for Derivatives Trading in
issued under or providing guidelines for compliance with the Notification of the Securities and Exchange Commission No. Kor Yor. 49/2547 Re: Licensing Derivatives Exchange and Derivatives Clearing House
understand and comply with the regulations prescribed in the said Notifications properly, the SEC would like to provide clarificatory notes to the Notifications and relevant guidelines, with details as follows
the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 15
Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 10. Notification of the Office of the Securities and
Investment Allotment for Units of Foreign ETF 04/01/2011 16/01/2011 8. Notification of the Office of the Securities and Exchange Commission OrNor. 1/2548 Re: Guidelines for the Exercise of Voting Rights of
and Exchange Commission) Guidelines for Filling in an Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of