shall purchase or sell of listed securities outside the SET, unless obtaining permission from the SET or such purchase or sale is made in compliance with rules, conditions and procedures specified by the
conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or
application for permission to cease such operation to the SEC Office or the SEC, as the case may be. In giving permission, the SEC Office or the SEC may impose any conditions with which the applicant shall
clause (6) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) , as amended by the Ministerial Regulation concerning Granting
) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008), as amended by the Ministerial Regulation concerning Granting
guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this Notification; 3 (3) to allow the SEC
Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the
can then be audited. The SEC has adopted many measures that will directly and indirectly encourage compliance with good corporate governance by listed companies. Direct Measures. These are compulsory