financial status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to
disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day
Baht 2.24 million, or 23.02%, in Q3’20; and amounted to Baht 25.22 million, which decreased by Baht 7.11 million, or 22%, in the nine-month period cause was more commission income in of Q3’20, which
10.44 million, or 41.40%, in the nine-month period cause was more commission income in of Q3’21, which decreased by Baht 3.89 million and Baht 12.27 million respectively. 1.4 Operational profit and net
, or 27.51%, in Q2’20; and amounted to Baht 17.73 million, which decreased by Baht 4.89 million, or 21.63%, in the six-month period cause was more commission income in of Q2’20, which decreased by Baht
. 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
itself or such delegation will ensure more efficient service providing. Clause 8. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued
(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant