as follows: (1) Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
Changes 5 2. Risk Management and Risk Factors 8 2.1 Overall Risk Management 8 2.2 Risk Management 12 Credit Risk Management 12 Market Risk Management 15 Liquidity Risk Management 16 Operational Risk
business; an increased credit with finance institutions to facilitate the company’s expansion; together with the company’s setup of allowance for doubtful accounts and loss from investments that increased
to achieve UN Sustainable Development Goals (SDGs).3. One ESG: SEC and SET will jointly setup the steering committee to drive the roadmap of environment, social and governance development for the
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the