uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph

apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or

refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company

or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for

Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

Commission, the administrative panel or the Office to undertake or refrain from undertaking any act, as the case may be. (5) for the period of twelve months prior to the date the branch office starts its

or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the Office may order the derivatives broker to rectify, do or refrain from doing any acts related to

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

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

, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction