Associated with Failure to Offset Position Should the client be unable to offset its derivatives position before the settlement date due to unfavourable market conditions, e.g. illiquidity, trading halt in the
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
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
Notification, the SEC Office may order such management company to rectify, operate or omit from any acts in order to comply with the rules as prescribed in this Notification, or suspend the approval for