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
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days from the date of
regulations or conditions related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days
consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system
trading day, settlement day, delivery or settlement method, and the delivery or reference price used to determine settlement price and margin requirements. The Client should consider if the investment is
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is
which it receives the request with complete and accurate documents in full, except in cases where it is necessary to consider additional facts and the Office has informed the securities company of such
significant issues, consultations, conclusions, and their basis; · Have the relevant disclosures been made for resignation? 2 Did the firm consider discontinuing any audit and accounting relationships during
, equipments, assets and place of business of companies, financial status, customer’s trust and company’s reputation, as well as a compliance to governmental regulations. Also, it should consider to wide impacts