_____________________________________________________________________ Remark : The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets

securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in

administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any

. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt

qualified to be fund manager if such approved person has the following characteristics: (1) cease to be the manager of the management company or any equivalent position called otherwise who take the highest

cease to provide services temporarily until such error has been eliminated. Clause 15. This notification shall come into force as from 1 June 2007. Notified this 29th Day of May 2007. (Mr. Theerachai

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the