. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt

have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office

securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any

qualified to be fund manager if such approved person has the following characteristics: (1) cease to be the manager of the management company or any equivalent position called otherwise who take the highest

cease to provide services temporarily until such error has been eliminated. Clause 15. This notification shall come into force as from 1 June 2007. Notified this 29th Day of May 2007. (Mr. Theerachai

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the

under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the