increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis; (5) “retail client” means a client other than institutional clients
operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored
an exemption to the case where the custodial services provided by digital asset issuers, which involves keeping only the issued digital asset on behalf of their clients, does not fall within the
bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act