notification and code of conduct established by a securities company to comply with this Notification as specified by the Office. Division 3 25 As amended by the Notification of the Securities and Exchange
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
the Securities and Exchange Act B.E. 2535 (1992); (7) a company issuing listed securities; (8) a company whose securities are traded in securities trading center; (9) a trust under the law governing
the code of ethics for professional accountants, regulations under the Law on Accounting Professions, and other additional regulations under the Law on Securities and Exchange; (2) arranging for an
derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if such persons have breached or failed to comply with the regulations prescribed
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
…………… (attachment) (if any) O No (3) Was fined under the law on securities and exchange relating to unfair securities trading or under the foreign law in similar offence: O Yes (please specify) For example, date of
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of