) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c) allow its business to be conducted with
) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c
borrowing from subsidiaries at the amount of Baht 214 million for construction and procurement of machinery. b. As at 31 December 2017, the Company was failing to comply with the bank’s requirements therefore
available for viewing or submission to the SEC Office for inspection upon request. Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the
Office for inspection upon request. 6 Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the capital in accordance with the Notification
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
record of violating or failing to comply with the regulations or conditions related to participation in a regulatory sandbox. Clause 3 The agreement for establishing a securities trading center under
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to