the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 15
Duties as Marketing Officer of Securities Company / Commercial Bank 15. Report/Form (Notification of Securities and Exchange Commission) Form 113-2 Form for Changing of Information of Marketing Officers
SorThor/Nor 8/2551 Reporting of Offshore Securities Investment of Securities Company 12/03/2008 14/03/2008 4. Notification of the Office of the Securities and Exchange Commission SorNor 5/2551 Investment
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission
on Investment of Securities Company according to Allocated Quota 20/06/2011 01/07/2011 11. Notification of the Office of the Securities and Exchange Commission 2/2553 22/01/2010 01/03/2010 12
Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 4. Notification of Capital Market Supervisory Board
and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business