คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
) arranging a communication system which clients can use to communicate with the employees of the intermediary who can provide such information to clients; (c) establishing an investment information center to
preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to
Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the
policy, and shall communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
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
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities