or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the

shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee

the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this

derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have

who is a provider of overallotment shares shall monitor and prohibit its employees who take part in providing overallotment shares from purchasing or selling shares under the first paragraph of Clause

prohibit its employees who take part in providing over-allotment shares from purchasing or selling shares under the first paragraph of Clause 14 mutatis mutandis . Clause 16 The provisions in Clause 11

through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the

following conditions: (a) being imposed a civil penalty by Civil Penalty Committee or being ordered or judged a civil penalty by court to prohibit the persons from being directors or executives in securities

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

various permanent operation and such log book should have a following detail: [A] · Operator · Operational time · Operational Detail · Occurred problem and solution · Position of system · Supervisor 2