resources especially the back-office functions as well as the management team to streamline our service operations and to save cost. Financial Position As of the year ended 2019 and for the period as of June
cookies enable core functionality such as security, network management, and accessibility. You may disable these by changing your browser settings, but this may affect how the website functions. Analytics
for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business
functions responding to a variety of investment demands. The SEC hopes that the application will be the tool that could eventually improve the investment skill among the Thais,? said Vorapol.
, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s
clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having
conflicts of interest arising due to the relationships that may compromise or appear to compromise the independence and objectivity of credit rating operations; Transparency and timeliness of ratings
functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager ; (3) person holding a position equivalent to the positions