concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and performance of a
providing. Clause 8. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and
operations of a branch office may damage the financial position and performance of a management company; or a management company is unable to continue to meet the criteria set (Translation) Page 3 of 3 out
period was over, provided that the action taken hereto shall base upon the commission of offences regarding deceitful, fraudulent or dishonest management of assets which has caused damage to either the
’ efficiency. 9. Litigation In September 2018, the Company was sued by a disputant company for its non – compliance with the memorandum signed in August 2018, claiming a compensation for damage of Baht 9.2
September 2018, the Company was sued by a disputant company for its non – compliance with the memorandum signed in August 2018, claiming a compensation for damage of Baht 9.2 million. As on 13 December 2018
favor of the Company. Consequently, the Company has not established any loss reserve in its accounts, from suing of claiming a compensation for damage of Baht 9. 2 million for its non- compliance with the
was sued by a disputant company for its non – compliance with the memorandum signed in August 2018, claiming a compensation for damage of Baht 9.2 million. As on December 13, 2018, the Company has
damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational