’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However
The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials
transaction to complete the disposal of the subsidiaries’ assets of not exceeding to 1,200 million Baht for the Company. The total value of the 2 agreements were 14,000 million Baht. The summary of significant
approval rules, or have failed to meet the conditions after approval, or has failed to disclose a complete, correct and sufficient material information for investor decision making, the SEC Office may
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete
form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the
relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been accused of or subjected to criminal proceeding
the operational risk and the customer relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been