NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office

compliance indicating the applicable standard for its debt securities issuance. 2. Additional disclosure in the Registration Statement: The minimum disclosure must comply with the ICMA’s standard. More details

. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the

footnotes to financial statement) The Securities company shall disclose detail in the footnotes to financial statement as prescribed by the accounting standard, namely information of financial statement

accounting standard, namely information of financial statement reporting rule, summary of accounting policies which the securities company using for the significant accounting items and accounting event

act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities

act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities

capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their

เกี่ยวข้อง กับภาคตลาดทุนเพื่อประเมินประสิทธิภาพของการก ากับดูแลเทียบกับมาตรฐานสากลด้าน securities regulation คือ IOSCO2 Objectives and Principles for Securities Regulation (“IOSCO standard”) โดยส านักงานเห็น