suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office

filing reports for all categories, commencing from the month in which the business operation ceases or is suspended and such securities company must not have any pending report. Such exemption shall desist

reports for all categories, commencing from the month in which the business operation ceases or is suspended and such securities company must not have any pending report. Such exemption shall desist when

แห่งประเทศไทยจะขึ้นเครื่องหมายไว้บนหลักทรัพย์จดทะเบียน เพื่อเตือนผู้ลงทุนให้เพิ่มความระมัดระวังในการพิจารณาลงทุน แต่ผู้ลงทุนยังสามารถซื้อขายหลักทรัพย์นั้นได้ เช่น เครื่องหมาย NP (Notice Pending) ในกรณี

companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the

discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC

capable, honest, and hard-working for long-term business success.

benefit at the expense of their clients. It is the duty of each and every securities firm to deal with its clients in a fair and honest manner and must take a prompt and appropriate action once it becomes

revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director

with managing power of a financial institution whose license has been revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O