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
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board regarding Rules
facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (4) having readiness for participating in the regulatory sandbox in the following
innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a
cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business
ละเอียดลูกหนี้ที่มีปัญหา (problem loans) ทั้งบัญชี cash และ margin 5.1 มูลหนี้รวม ............................................. ล้านบาท 5.2 จำนวนราย .............................................. ราย 5.3
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
between the period, and in case of deposits in the financial institution having position or business operation problem, it shall disclose such amount of cash. 4.3 Investments in debt and net equity