e-service Online Submission See canceled document Bond Dealer and Underwriter >> Statutory Disqualifications for Management (section 103)   Type Title Section See Document Status Notified Date

of the Securities and Exchange Commission   Nor Por. 4/2561 Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management 12/11/2018   Notification of the Office of

. Kor Thor. (Wor) 23/2557 Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism   08/08/2014    Contact The Securities and Exchange Commission, Thailand

Exchange Commission  Kor Thor. 9/2556 Segregation and Management of Clients Assets In Case of Intermediary Being under Receivership by Court Order   18/10/2013 01/11/2013    Contact The Securities and

of the Securities and Exchange Commission   Nor Por. 4/2561 Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management 12/11/2018   Notification of the Office of

. Kor Thor. (Wor) 23/2557 Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism   08/08/2014    Contact The Securities and Exchange Commission, Thailand

Exchange Commission  Kor Thor. 9/2556 Segregation and Management of Clients Assets In Case of Intermediary Being under Receivership by Court Order   18/10/2013 01/11/2013    Contact The Securities and

of the Securities and Exchange Commission   Nor Por. 4/2561 Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management 12/11/2018   Notification of the Office of

. Kor Thor. (Wor) 23/2557 Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism   08/08/2014    Contact The Securities and Exchange Commission, Thailand

Exchange Commission  Kor Thor. 9/2556 Segregation and Management of Clients Assets In Case of Intermediary Being under Receivership by Court Order   18/10/2013 01/11/2013    Contact The Securities and