baht. Clause 12. In the case where it appears that the custodian violates or does not comply with the prescriptions under Clause 8 to Clause 11, the Office shall proceed as follows: (1) Put on probation

management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation

period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless

imprisonment or discharged of the probation for less than 3 years. In this regard, the aforementioned action has been proceeded only for the offences under the Securities and Exchange Act. 2535 (1992) , the

following actions; (1) Warning; (2) Probation; (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any

or discharged of the probation for less than 3 years: (a) the offences under section 289 in conjunction with section 90 (specifically those having characteristics within the scope of public fraud) or

Office may proceed to impose sanctions as follows: (1) Probation; (2) Suspension of operation for a specified period or according to specified conditions; (3) Revocation of approval. In case where the

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

beneficial facts or evidence in the trial of the case or the proceedings, or concealing or destroying the evidence of the case or giving false statements, etc.; Clause 4. A person having the prohibited