Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2 of the Notification of the Capital Market Supervisory
shall be deemed to be the formation of a limited company or of a public limited company, as the case may be. The application for a license, application for an approval, the issuance of a license, and the
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
Office within fifteen days from the date on which the Bank of Thailand issues such letter and it shall be deemed that the Office has approved such auditor on the date of the Bank of Thailand’s letter
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
deemed terminated. Yours sincerely, Signature ........................................................... (..........................................................) Certified public accountant No