. Tor Lor Thor. 70/2561 Re: Rules on Personnel in the Capital Market Business (No.10) dated 24 October 2018 (effective on 1 January 2019). 13 (1) failing to have the qualifications or possessing the
, under the approval of the Financial Institutions Policy Committee, to propose a resolution plan for failing financial institutions which could adversely affect the country’s overall economic and financial
provisions for slow-moving inventories, and of the return policies used to estimate the liability associated with future returns; Failing to communicate necessary audit procedures that should be performed by
results or going concern of the Company or its group of companies; - Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in
perspective, the underlying goal was accomplished. This is akin to losing a battle but winning the war. Individual investors invest to achieve goals (typically an inflation-adjusted standard of living), and
- best-practices 9 Southeast Asia in 2023: Economic Resurgence with Climate Change Uncertainty: https://th.boell.org/en/2023/01/31/southeast- asia-2023 10 ASEAN risks losing 35% GDP by 2050 from climate
risk, corruption risk, severe epidemic risk, etc.; 2.2.2 Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in
securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in part; 2.2.3 Foreign investment risk (in case the issuer is a foreign company). Identify and
days as from the date when the intermediary becomes aware or should be aware of such fact: (1) failing to have the qualifications or possessing the prohibited characteristics under Section 103 of the
aware or should be aware of such fact: (1) failing to have the qualifications or possessing the prohibited characteristics under Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or Section