Office may order the derivatives broker to rectify, do or refrain from doing any acts related to derivatives investor contact service or back office service from service provider. Notified this 8th day of
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
the service provider does not have qualification as 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
to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
because the outbreak of the Coronavirus disease 2019 ( COVID- 19) in Thailand has continued to spread rapidly and widely and the government has requested cooperation from all sectors to refrain from
results in the first quarter of 2020 as mentioned above, is mainly from the impact of the COVID-19 situation which refrain the advertising and public relations activities. Product launch activities
under Clause 2 to the said company. In this regard, the SEC Office may determine a condition whereby the approved company shall act or refrain from acting in certain way: (1) the benefits to be dereived
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify