available risk. In case of damage prevention, it has an objective for preventing information and computer system from available risk according to a content cover the guideline for entering the computer centre

been an executive involved in causing damage or held jointly responsible for damage arising to a financial institution whose license has been revoked or business operation controlled or suspended because

คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน

manner of deceit, fraud or dishonesty relating to offences against property which caused damage either to the financial institution or its clients ; (2) having been imprisoned by the final judgment of a

) ensure that only copyrighted software and appropriate software patches are installed and establish measures for protection against malware intrusion or damage to confidential or critical data stored on

, derivatives business or trust business as a whole, or injury of business reputation, financial status, business operation or its clients ; (3) having a reasonable ground to believe that there is or was [i] a

mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return

electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past

allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or