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
2018), which is higher than 0.03% but less than 3% of the Company’s NTA. Evaluating the size of all recent 6 months of the Company and its subsidiaries prior to the Transaction date regarding the Related
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
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
) 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 managing
Principles of Corporate Page 4 of 4 Governance, the discussion focused on assessing the ownership engagement of institutional investors in Asia. The base of institutional investors in Asia is still small