the SEC as being necessary to rectify the condition or operation of the securities company; (c) in the case where an appointment is made in accordance with Section 145; (d) in the case where the holding

over-the-counter center is incorrect. The management company shall arrange to maintain a copy of such report under (1) hereof at its office for inspection by the Office. (2) Rectify the incorrect unit

or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for

to rectify the application or additionally deliver evidentiary documentation as specified by the SEC Office. Yours Sincerely, Signature........................................................... Name

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

appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work

being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver

management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order

or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the Office may order the derivatives broker to rectify, do or refrain from doing any acts related to

specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service from service provider. Clause 11. Securities company