securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A

: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 4

: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 3

be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated

rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding

holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For

discontinuation of service provision under the regulatory sandbox ; (c) After consideration, the SEC has the following opinions: 1. there is a reason to believe that the provision of services cannot solve a problem