appropriateness. Chapter 3 Powers of the SEC Office ________________________ Clause 10 In the case where a certain fact appears to the SEC Office leading to any of the following reasonable suspicions, the SEC

; or aiding or abetting thereof; (3) dishonest or deceitful acts; or aiding or abetting thereof. Clause 17 In cases where a fact appears that any person had the behaviors prescribed under Clause 16 more

issued by virtue of the Derivatives Act B.E. 2546 (2003) (b) for the period of three years prior to the date the securities company submits the application, it must not appears that the securities company

must not appears that the derivatives broker being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system

and the Acquisition of Assets, appears as Attachment. Please be informed accordingly. Yours sincerely, (Mr.Vee Worasakyotin) Managing Director Information Memorandum on the Entry into Connected

into Connected Transaction and the Acquisition of Assets, appears as Attachment. Please be informed accordingly. Yours sincerely, (Mr.Vee Worasakyotin) Managing Director Information Memorandum on the

provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification

operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance

shall arrange for the Office of the Securities and Exchange Commission to examine an operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears

. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or the service provider does not have qualification as