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
from the service user. In this regard, the provisions in Clause 4(3) shall be applicable, mutatis mutandis. (3) having transparent disclosure of information related to execution of trading transactions
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
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
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
, 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
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
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
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
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ - 21 - (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note : This annual registration statement (Form 56-1) contains minimum information required to be discl...