Office of the Securities and Exchange Commission Sor Thor/Nor. 45/2559 Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
, excluding the following businesses: (a) securities borrowing and lending business; (b) mutual fund management for foreign investors. (2) person licensed to undertake derivatives business in the category of
expenses increased in the amount of Baht 17.7 million or 6.5%. And, the financial costs decreased in the amount of Baht 2.2 million or 7.8% which was in line with the improved financial cost management of
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
Provisions _____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement
_____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement and operating systems, as
recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. In this regard, the SEC