คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
made to its operating system, the intermediary shall deliver a report of such change to the SEC without delay . Clause 12 The management structure and operating system as prescribed in Clause 11 shall
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
audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
obtained an approval from the Office according to rules and procedures prescribed by the Office. Clause 4 . Upon an appointment of the liquidator, the management company shall: (1) deliver to the liquidator