this Notification shall be as follows: (1) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a
Exchange Commission will complete its deliberation within 30 days from the date on which the Securities and Exchange Commission has received the proposal from the SEC Office. 1 Amended by the Notification of
published in the Government Gazette on 9 June 2004, Volume 121, Special Section 64Ngor. The Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor/Khor. 43/2547, Re: Determination of Fees
that the client had received general advice, specific advice or had not received any advice on investment. Clause 20. A securities company shall ensure its staff act in compliance with this notification
company violates or fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the
fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the Office may order such
ยุทธนา 6 UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital