refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
Commission or the Office to refrain from expanding, to suspend, or to (Unofficial Translation) 3 rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
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
collective investment scheme under this Notification, the SEC Office may order securities company to rectify, act or refrain from any action for the purpose of complying with this Notification. Clause 13. This
scheme under this Notification, the SEC Office may order the securities company to rectify, act or refrain from acting for the purpose of complying with this Notification. Clause 13 This Notification shall