regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing
service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or
information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of
ออก มีการกระทำใดที่กระทบต่อมูลค่า ของหุ้นอ้างอิง เช่น เปลี่ยนแปลงมูลค่าที่ตราไว้ของหุ้น (split หุ้น) เสนอขายหุ้นที่ออกใหม่ในราคาต่ำกว่าราคาตลาด ซึ่งทำให้หุ้นเดิมเกิด dilution เป็นต้น ผู้ถือ warrant ก็จะ
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing