Standard แก้ไขเพิ่มเติม พฤษภาคม 2561 เอกสารเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการลงทุนในหลักทรัพย์ต่างประเทศ การลงทุนในหลักทรัพย์ต่างประเทศมีความเสี่ยง ผู้ลงทุนอาจสูญเสียเงินลงทุนไม่ว่าทั้งหมดหรือบาง

strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By

-ร่าง- Unofficial Translation Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. PAGE 5 Notification of the Office

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

Translation (Translation) - 1 - Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 9 Notification of the Capital Market

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of

reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of