reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
securities company which prevents conflicts of interest or unfairness to clients under Clause 12(8)(d) of the Notification on Standard Conduct of Business shall include the following proceedings: (1
criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception