; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 7/3 3 To select credit rating information under clause 7/2, derivatives broker
market products based on an automated program that runs product selection and trading placement without interference throughout the transaction process. “ intermediary ” means: (1) securities business
automated หรือการควบคุมแบบป้องกันและติดตาม 10.4 บริษัทกำหนดให้มีการควบคุมภายในในทุกระดับขององค์กร เช่น ทั้งระดับ กลุ่มบริษัท หน่วยธุรกิจ สายงาน ฝ่ายงาน แผนก หรือกระบวนการ 10.5 บริษัทมีการแบ่งแยกหน้าที่ความรับ
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or
rating under Paragraph 2 shall include support credit rating assessed by the credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 18/3