the Office 17. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will
communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the
efficient system of operational control for examining and counterbalancing [the personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk
practice for such type of transaction. Clause 16 In conducting a due diligence of the real estate before investment, the applicant shall perform professionally by at least examining and reviewing the
listed companies in the acquisition or disposition of assets 2004” (“participation or disposal announcement”). Once analyzing all criteria, by referring to the highest value analyzed in any criteria, the
or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining
, the Company’s margin loan balance was Baht 1,913 million. The Company controls the risk of such loans by establishing credit limits for clients and analyzing their financial position on an ongoing basis
31st December 2019, the Company’s margin loan balance was Baht 1,745 million. The Company controls the risk of such loans by establishing credit limits for clients and analyzing their financial position