Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by

scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3

shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as

the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is

characteristics under the Notification of the Ministry of Finance shall be prohibited to be major shareholder within the following periods: The prohibited characteristics Level of seriousness of behavior Maximum

system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 6 This Notification shall apply to financial statements with accounting periods

Market Supervisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies dated 3 August 2009, the SEC Office hereby issues the following regulations. Clause 1 The

which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold derivatives brokerage

session of the next business day from the date on which a margin call is made by the derivatives broker . Clause 5 In cases any client is unable to deposit a margin within the periods prescribed under

Derivatives Advisors dated 17 January 2018, and Clause 1(3) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 59/2552 Re: Rules and Periods for Submitting Reports of Securities Companies