empower the derivatives exchange to take the actions on derivatives trading executed by members for themselves or for their clients: (a) suspend derivatives trading unless such trading is for closing out
executives to clarify or disclose additional information within a specified period and suspend the approval of the issuance of the structured notes, or suspend the offer for sale of the structured notes until
repeatedly insists that transactions with significant size be done quickly, client repeatedly insists to process transactions at prices that are not advantageous or competitive, terms and conditions of
advantageous or competitive, terms and conditions of transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to
process transactions at prices that are not advantageous or competitive, terms and conditions of transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices
) suspend the operation of business in the category relating to the maintenance of capital until the intermediary regains the maintenace of capital in accordance with the Notification concerning Maintenance
maintenance of capital within the period under Clause 12 (3) or does not have capital for more than five consecutive busienss days, it shall: 7 (1) suspend the operation of business in the category relating to
; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an approval to be a custodian, and the Office may use such information for the
8 to Clause 11, the Office shall proceed as follows: (1) Put on probation; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an
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