/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant purchasers by the amount

remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the

paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce

the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of

derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into force from 16

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on

financial statement that has been audited by an auditor approved by the Office shall not less than Baht one billion, In case where the securities company increase or reduce its paid-up capital after the