following year. Clause 20 This Notification shall come into force as from 1 January 2017. Notified this 7th Day of November 2016. -Signature- (Mr. Voravidh Champeeratana) Chairman Securities and Exchange
January 2011 onwards. Notified this 15th day of December 2010. (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remark: The rationale for promulgation of
Capital . Notified this 17th day of January 2018. (Mr. Rapee Sucharitakul) Secretary-General Office of the Securities and Exchange Commission The Law on Financial Institutions means the Financial
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
market as a whole. Clause 3 This Notification shall come into force as from 1 December 2011. Notified this 23th day of November 2011. -signature- (Nawaporn Ruangskul) Chairman The Securities and Exchange
Notification shall come into force as from 1 December 2011. Notified this 23th day of November 2011. -signature- (Nawaporn Ruangskul) Chairman The Securities and Exchange Commission