SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English
duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
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
Notification of the Securities and Exchange Commission (Translation) PAGE (Translation) - 4 - Readers should be aware that only the original Thai text has legal force and that this English
NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is