Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
Office of Securities and Exchange No. SorThor/Nor. 34/2547 Re: Operational Control and Security for Information Technology of a Securities Company dated 20 July 2004 and The Notification of the Office of
derivatives broker. Clause 2. The Notification of the Office of Securities and Exchange No. SorThor/Nor. 34/2547 Re: Operational Control and Security for Information Technology of a Securities Company dated 20
/2012 8. Notification of the Office of the Securities and Exchange Commission SorNor. 1/2548 Rules for the Exercise of Funds Voting Rights at the Shareholders Meeting by the Management Company and
following Notifications shall be repealed: (1) The Notification of the Capital Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re: Requirements for Securities Company to Take Action concerning
/2013 2. Notification of the Securities and Exchange Commission KorKhor 7/2551 Determination of Paid-Up Registered Capital of Securities Company 08/05/2008 01/06/2008 3. Notification of the Securities
Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 12. Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548