management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently

approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide

account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1

office continues, the Office shall have the power to instruct the securities company to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to

shall have the power to instruct the derivatives broker to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to revoke the approval of such

the association with the approval of the SEC Office. If it is necessary and expedient, the SEC Office shall have the power to instruct a management company to act additionally or differently from the

conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with

instruct such person to take corrective action, or act or omit from any act to comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to 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