Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting
ละเอียดลูกหนี้ที่มีปัญหา (problem loans) ทั้งบัญชี cash และ margin 5.1 มูลหนี้รวม ............................................. ล้านบาท 5.2 จำนวนราย .............................................. ราย 5.3
accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the
evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there