regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
ความเสี่ยง (Risk Management and Control Strategy) ในด้านต่าง ๆ ดังนี้ 5. ระบบควบคุมภายในและการกำกับดูแลการปฏิบัติงาน (Internal Audit and Compliance Functions) 6. มาตรการป้องกันความขัดแย้งทางผลประโยชน์
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
must not appears that the derivatives broker being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system
Diplomat Sathorn 9.6 0.6% - - 9.6 0.3% - - Net profit from sales of the Diplomat units 17.0 1.1% - - 67.0 2.0% - - Gain from loss of control in subsidiaries 49.7 3.3% - - 82.8 2.5% - - Food & Beverage 9.2