electronic data filing. Clause 4. The following securities companies shall be exempt from preparing and filing the reports under this Notification: (1) Any securities company, which ceases its securities

operator, which ceases its business in all categories by regulation or order, and when the SEC Office has received notice in writing from the business operator or when the order has come into force, shall be

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain

accordance with the Notification of the SEC Office. Clause 5 The derivatives broker which ceases the operation of the derivatives business in the category of derivatives brokerage and has given a written

a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of

terminated if the investor contact has the following characteristics: (1) ceases to be Manager of the securities company or any equivalent position called otherwise who take the highest responsibility in the

. The status of the investor contact approved by the Office shall cease in case the investor contact fails to act or has the following characteristics: (1) Ceases to be executive of the securities company

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the