to comply with such rules or suspend the approval for appointment of representatives for the specified period or conditions or revoke the approval for appointment of representatives. Clause 6. This

) 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

; (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

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

operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange

Exchange Commission. The Office of Securities and Exchange Commission may also order the Derivatives Exchange or the Clearing House to suspend trading or restrict or liquidate position of clients where it is

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able

revoke the approval; (2) in case of prohibited characteristics in Group 2 under Clause 30 (4) or (5), the SEC Office shall either suspend or revoke the approval based on the ground of possessing such

Clause 30 (3) or (4), the SEC Office shall either suspend or revoke the approval based on the ground of possessing such prohibited characteristics; (3) in case of prohibited characteristics in Group 3