Securities and Exchange; “board of directors” means the board of directors of a derivatives clearing house; “executive director” means any director who takes part in management as prescribed by the
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s
communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company’s employee who can provide such information to the client at the
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been
of Capital and obtains approval from the SEC to resume the operation of such business as usual; (2) give a written notice of the suspension of business under (1) to the clients without delay; (3) take
the maintenance of capital until the intermediary regains the maintenace of capital in accordance with the Notification concerning Maintenance of Capital and obtains approval from the SEC to resume the
business under the Ministerial Regulation No. 5 B.E. 2539 (1996) promulgated under the Securities and Exchange Act B.E. 2535 (1992) , who obtains an exemption of fee for undertaking business according to the
business under the Ministerial Regulation No. 5 B.E. 2539 (1996) promulgated under the Securities and Exchange Act B.E. 2535 (1992), who obtains an exemption of fee for undertaking business according to the