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 11. Notification of the Office of the
Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
Office 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
Intermediary 03/06/2014 01/07/2014 7. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of
Detail related to Proprietary Trading of Intermediaries 07/04/2015 16/05/2015 6. Notification of the Office of the Securities and Exchange Commission OrThor. 28/2543 Re: Guidelines for the
Underwriting Amount (No. 2) 03/09/2012 16/09/2012 7. Notification of the Office of the Securities and Exchange Commission OrYor. 7/2545 Re: Guidelines for the Consideration of the Business Operation which
the Notifications and relevant guidelines, with details as follows: 1. Objective of the Notifications To specify regulations supporting cross-border offerings of covered funds under HK-TH-MRF in
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