translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
and Procedures for Dealing of Debt Securities (codified as of 25/10/2006) (Synopsis) 26/09/2000 3. Notification of Capital Market Supervisory Board 5/2556 15/02/2013 01/04/2013 4. Notification of
) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice
Securities and Exchange Act 2535 103 12/03/1992 16/05/1992 2. Act Securities and Exchange Act 2535 104 12/03/1992 16/05/1992 3. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of
Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor. 9/2554 Short Selling of ETF and Securities Being Underlying of ETF by a Securities
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of