... TRANSLATED VERSION As of November 21, 2008 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference Notification of the
November 2016. (Rapee Sucharitakul) Secretary-General Office of the Securities and Exchange Commission
... TRANSLATED VERSION As of November 23, 2011 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
undertaking derivatives business. Clause 2. This Notification shall come into force as from 1 December 2008. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange
repealed: (1) Notification of the Securities and Exchange Commission No. Kor Mor. 10/2559 Re: Determination of Fees for Undertaking Businesses according to Licenses dated 7 November 2016; (2) Notification of
come into force from 1 November 2013. Notified this 16th day of October 2013. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission
in underwriting debt instruments. Clause 4. This Notification shall come into force from 1 January 2001. Notified on this 23rd day of November 2000. - Signature - (Mr. Tharin Nimmanhaeminda) Minister
/2559 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest (No. 4) dated 12 October 2016 (effective as from 16 November 2016). 2 Amended by the Notification of the Office of the
mutandis . Clause 5. This Notification shall come into force as from 16 November 2008. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange Commission