investor remediation fund for illegal activities in violation of the securities laws; (7) Monitoring and Assessing Systemic Risks in a timely manner: To develop database and enhance
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or
disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or long term, such as damage on building or place of business or branches, a failure of
whether the CRA can determine a high quality credit rating for the security, the CRA should refrain from issuing a credit rating. 1.5 In assessing creditworthiness, analysts involved in the credit rating
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
expenses or gain or loss from securities appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on
securities trading. In the case where it has a securities trading expenses or gain or loss from securities appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall
of the virus in other countries and the possibility of a second outbreak in Thailand. The Bank continues to monitor the situation closely and prudently assessing the portfolio quality while continuing
information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and