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
guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
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
the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) 01/02/2010 01/02
. Notification of the Office of 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