notifications are as follows: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2568 Re: Custody of Client Assets of Securities Companies (No. 7): https://publish.sec.or.th/nrs/10847s.pdf
6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
://publish.sec.or.th/nrs/9646p_r.pdf Translation ” means any mutual fund established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on
regulations: Clause 1 This Notification shall come into force from 1 September 2009. Clause 2 The Notification of the Securities and Exchange Commission No. Kor Yor. 49/2547 Re: Licensing Derivatives Exchange
3 of Section 16 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 This Notification shall come into force as from 16
the Notification of the Capital Market Supervisory Board * The SEC therefore has suspended their approval as investment consultant, with details as follows:Capital Nomura Securities: (1) {B
(2) of the Notification of the Capital Market Supervisory Board No. TorNor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Fund dated 10 January 2011
.2542 (1999), and Clause 5 (1) in conjunction with Clause 16, Clause 17, Clause 18, Clause 19, Clause 22 (3), Clause 23 and Clause 24 of the Notification of the Capital Market Supervisory Board No. Tor