e-service Online Submission Bond Dealer and Underwriter >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   14/2545

e-service Online Submission Limited BDU >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations    23/01/2004 2. Notification of the Securities and Exchange

e-service Online Submission Securities Brokerage Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification of

e-service Online Submission Securities Underwriter Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification

e-service Online Submission Securities Dealer Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification of the

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   7/2560    16/02/2017

Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Approval and Qualifications   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act

Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Fund manager   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board

Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Property Fund Manager   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act 2535

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