of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
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
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
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
comply with the 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
understanding; (5) provide additional warning that high-risk or complex capital market products are different from plain vanilla products; (6) inform clients about the risk which may arise from service or
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for