ความเสียหายที่เกิดขึ้นจาก operational risk 2 (ย้อนหลัง 5 ปี) (บาท) 25 ... 25 ... 25 ... 25 ... 25 ... 1. ความเสี่ยงจากการทุจริตภายใน (internal fraud) 2. ความเสี่ยงจากการทุจริตภายนอก (external fraud) 3

being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under

or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

บริษัทจึงต้องมีการกำหนดหลักเกณฑ์ที่เหมาะสมและสามารถคัดกรองสินค้าที่มีคุณภาพเพื่อนำมาให้บริการแก่ประชาชนได้ โดยต้องมีกระบวนการคัดกรองโครงการที่อาจเป็นการหลอกลวง (scam) และหากเป็นโทเคนดิจิทัล จะต้องให้บริการ

in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or

cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer

deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being