correction, systematically. Additional Guidelines 7. In complying with Clause 6 (5), the intermediary should ensure that the internal control system is monitored and evaluated and deviation of established

bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate

bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures

once a year: (1) conduct testing on the business continuity plan with members and involved persons; (2) have the results of the testing under subclause (1) evaluated by a person with required knowledge

broader range of stocks of companies that demonstrate outstanding environmental or sustainability ratings or scores, as evaluated by reliable and independent institutions. In addition, Thailand ESG Fund

?Persistence of Equity Mutual Fund Performance in Thailand? evaluated whether or not the performance of Thai equity funds persist. Good mutual funds should provide both returns satisfying investment goals of

According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval