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likelihood of identified risks are assessed and prioritised, and that suitable risk mitigation strategies and plans are in place. br> 6.1.5 Considering the size and nature of the company, the board may
for two consecutive years, they will be charged additional fees until the situation is rectified. Additional fees are calculated based on the length of time in breach and the size of the shortfall in
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior
financial institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and
effectiveness solution to collect the overdue trade receivables amounting to THB 920 million in the future for used as working capital and repayment debts, such as a totaling amount THB 397 million of debentures
forward with our daily lives. Many have since found that utilizing technology to digitalize financial products and infrastructures have certainly improved effectiveness of the financial and investment
and to ensure that the effectiveness of our inspection systems is on par with the international standard. We first joined the International Forum of Independent Audit Regulators (“IFIAR”) in 2010. The
management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the