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
6. Notification of the Office of the Securities and Exchange Commission SorThor. 7/2557 Rules on Appointing Independent Director of an Intermediary 03/06/2014 01/07/2014 7. Notification of the
Market Supervisory Board 85/2552 03/08/2009 01/09/2009 6. Notification of the Office of the Securities and Exchange Commission SorThor. 7/2557 Rules on Appointing Independent Director of an
01/04/2014 Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01