SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
the engagement team; (b) having the competence and capabilities, including sufficient time, and the appropriate authority to perform EQR; (c) complying with relevant ethical requirements, including in
encouraged to give more emphasis to ESG considerations as a growth incentive. For example, investment of institutional investors in ESG complying companies, ESG education of capital market business personnel
), mother of Mr. Nontawat Dhanasuwiwath who is the director and executive of the Company. Therefore, this is defined as connected transactions complying with notification of Capital Supervisory board, Tor
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
have not been sufficient to completely offset shrinking consumer purchasing power, particularly in tourist areas. The Company has placed great importance on complying stringently and promptly with the
Safeguards" (Section 5.2) MSS implies that the activity must also do no harm with social aspects. Social aspects include, but not limited to, complying with labor laws and providing good conditions to the
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules
consideration of prohibited characteristics of such auditor. 2.1.4 Post-Approval Duties (1) Complying with the specified rules: performing an audit work in giving opinions on financial statements with