Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1
25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
Secretary-General in charge of law and enforcement as member;(4) Assistant Secretary-General in charge of listed company supervision as member; (5) Assistant Secretary-General in charge of law
supervision of corporate finance, corporate governance, market and securities businesses.Mrs. Supantanet, who was appointed Assistant Secretary-General in 2016, oversees the line of work related to fund
real estate investment trusts; 2. Appraisers; 3. Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under supervision of the SEC Office in compliance with
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during