crisis at IFEC. He has also failed to carry out his duty for the benefit of IFEC and its shareholders. There have been many complaints against Mr. Suphanan, alleging that his behaviors have damaged both
capital market. Furthermore, currently business operators can carry out other businesses right away if the conditions are met, whereas TSFC Securities Public Company Limited (TSFC) must acquire prior
Approving a Listed Company to Offer Newly Issued Shares to Specific Investor and will be subject to the resolution of the Extraordinary General Meeting of the Shareholders with the voting of at least 3 out of
business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
programs/checklists and describe any such changes or updates. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures, and TSQM A5 To promote timeliness and
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
arrangement to ensure that the relevant service UNOFFICIAL TRANSLATION provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out
established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the