business, a license certificate shall be issued as evidence and shall be in the form attached herewith. Clause 6 In deliberating an application under Clause 5, the SEC Office, in addition to reviewing the
entail ongoing surveillance, once a credit rating is published, the CRA should monitor the credit rating on an ongoing basis by: a. reviewing the creditworthiness of the rated entity or obligation
investment amounting THB 13,996 mn and is in the process of reviewing its capital expenditure plan in the effort to curb investments in new projects and asset enhancement initiatives. Temporary closure of 2
workers who are responsible in each division, considered in specifying the frameworks, policies and reviewing the methods of the Company’s risk management to cover and comply with the economic condition
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission