obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
debt instruments or investment unit, or securities financing business under the Securities and Exchange Act ; (3) a juristic person established under foreign law, which is a derivatives business operator
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
have established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. For the purpose of Paragraph 1, the term
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
foncier businesses, securities companies under the law on securities and exchange, life insurance companies under the law on life insurance or financial institutions established under specific law with the
under the law on interests of loans of financial institution; “foreign financial institution” means any juristic person established under foreign law licensed to provide derivatives services under the law
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance