Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)

Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage

Office hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to undertake derivatives business in the category of derivatives brokerage

Office hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to undertake derivatives business in the category of derivatives brokerage

. 2535; (11) The Ministerial Regulation Concerning Approval for Undertaking Securities Business in the Category of Mutual Fund Management B.E. 2545; (12) The Ministerial Regulation Concerning Approval for

Repeal of Notification of the Securities and Exchange Commission concerning Maintaining Capital of Securities Company in the Category of Securities Finance Business

Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance

Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor

Section 89/12, if determined by law of foreign jurisdiction where home exchange is located as transaction in category or with value or rate not subject to approval by resolution of foreign ETF unit holders