Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of
Commission No. KorNor. 24/2553 Re: Units of Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 as
Board No. TorNor. 49/2553 Re: Provisions Relating to Governance and Business Takeover of Foreign ETFs By virtue of Sections 16/6, 89/1, 89/12, 89/14, 89/29, 89/31, 246 and 247 of the Securities and
Former investment consultant on general products who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 5.3 − − − 9 Former
approved by the SEC Office, or any others under remark 1)2 8 Former investment planner who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of
___________________________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 126(5) of the Securities and Exchange
Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities
Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section
, Conditions and Procedures for Providing Services as Securities Registrar By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E