ended 31 December 2018, which has been audited by the auditor With significant operational results as follows The operating results of the Company for the year ended 31 December 2018 showed a net loss of
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
domestic authorities to exchange information and discuss development and monitor systemic risks of Thailand's financial system. Such cooperation is conducted under three Regulators Working Groups, comprising
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system, human resources and working
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No