Making an initial and direct contact with the compliance unit of the securities / derivatives intermediary under complaint would allow the intermediary to rectify or take necessary action before further
securities company to rectify financial condition or result of operation as approved by the SEC (if any); (d) any other factors which adversely affect the securities company’s financial condition or result
/RMF by income groups (% of income) Source: Muthitacharoen, A., 2022, “Strengthening Thailand’s Tax System (Revised e-book edition)”. Simplify the rules of tax incentives 2 Tax deductions rules on SSF
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
Commission or the Office to refrain from expanding, to suspend, or to (Unofficial Translation) 3 rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver