Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

the result of the sale to the Office. In cases where an offering is made through an underwriter, the promoters of a public limited company, a company or owner of securities shall report the amount of

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

billion baht except in the following cases whereby the investment value of each business may be less than one billion baht: (a) investment in an electricity generating business (b) investment in the

holding of shares in each level exceeds 75 percent of the total number of outstanding shares of such company; (9) “Office” means the Office of the Securities and Exchange Commission. Clause 2. In cases

such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases

high-risk or complex characteristics outside the offices of intermediaries shall comply with the regulations under Chapter 7. Clause 4 In cases where there is a necessary and reasonable ground, the SEC

specified in the Notification of the Sheikhul Islam Office in cases where the aforesaid holidays do not coincide with the official holidays listed above or weekends. Notified this 11th Day of August 2015