: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 4
: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 3
as a cause for dissolution: (a) expiration of the license period under the regulatory sandbox in Paragraph 2 of Clause 5, or expiration of the extension period under Paragraph 4 of Clause 5, as the
following conditions: (1) there is a reason to believe that the operation cannot solve a problem or develop the provision of services in the Thai capital market or does not benefit Thai investors or the Thai
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
extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
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