been registered to the Office prior to this notification become effective, and having the details in mutual fund management scheme contrary to or inconsistent with any provision in this notification or
fund shall contain at least the following details: (1) provision on the causes of dissolution of mutual fund which includes at least such causes as specified in the Notification of the Capital Market
16 February 2017. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 6/2557 Re: Provision of Services to Clients regarding
February 2017. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 6/2557 Re: Provision of Services to Clients regarding Investment
accordance with the Notification of the Office of the Securities and Exchange Commission. Clause 2/1 1 The provision as prescribed in Clause 3 shall not be applicable to a derivatives broker which has ceased
could not rectify the problem within the specified period, which is deemed non-compliance with Clause 9(3) of the SEC Notification No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives
). Clause 9 A proprietary trading of derivatives by a securities intermediary shall be in accordance with the Notification of the Capital Market Supervisory Board concerning Derivative Trading and Provision
this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of