recognized by the SEC Office; Clause 24 In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the
the program pursuant to Clause 23 or Clause 55, certain facts appear to the SEC Office showing that the Thai government agencies have failed to maintain the qualifications in accordance with the
has failed to maintain the qualifications in accordance with the approval rules, or has failed to meet the conditons after aprroval, or has failed to diclose a complete, correct and sufficient material
. Clause 13 If, during the term of the program under Clause 23 and Clause 53, a certain fact appears to the SEC Office showing that the approved foreign entity has failed to maintain the qualifications in
Baht. Progress on court’s consideration and legal enforcement of the main debtors 1.1 Media Agency Thai Co., Ltd. is a debtor in the Air Time Management Right Sale Contract. The debtor failed to follow
receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification
4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification, or code of conduct
investors or the home regulator, or has not failed to submit such information to investors or the home regulator. (2) have investment policy to invest in eligible asset type with investment limit in similar