indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance

postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider

circumstances which may significantly affect the management company or may cause damages to customers or investors. Such plan shall be stress-tested, reviewed and improved to be up-to-date and to be suitable for

power to impose one or several sanctions and shall also have the power to order the subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive

regulatory sandbox is deficient and cannot be improved; 5. there is a reason to believe that the innovation used in the service provision may cause a material impact or damage to investors or the overall

provisions in Clause 4 and Clause 5 or Clause 6, as the case may be; (4) the operation under a regulatory sandbox is deficient and cannot be improved; (5) there is a reason to believe that the innovation used

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1