aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
operational system; · determine the event or priority of violent of problem ; · determine for solving the problem in detail; · determine the responsible officer and authorize person and having name list and
Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information
its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time
an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
ละเอียดลูกหนี้ที่มีปัญหา (problem loans) ทั้งบัญชี cash และ margin 5.1 มูลหนี้รวม ............................................. ล้านบาท 5.2 จำนวนราย .............................................. ราย 5.3
image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time, business manner or circumstance, and