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
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
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
group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
substantial fees are overdue? 9 Are there any significant bad debt write-offs for existing audit clients? 10 Non Audit Services / Cross Selling: Should require that: others within the firm, and its network
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
relation to the business group of the major shareholder. If the business structures of the Company or its group of companies call for substantial competition, demonstrate clearly how the Company protects the