which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of such error
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
the Office only when the securities company cause the relevant executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The securities company shall
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause