and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

complaint unit; (10) demonstration of the following statements in a rectangle with the letters of not smaller in size than the size of letters of general content: “Securities investment may encounter both

; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of

services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action

(MMOU); (b) a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office concerning mutual assistance at a level not less than as

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was