business operators which have been licensed or registered properly at www.sec.or.th and “SEC Check First” application. In addition, investors can inquire or send a tip on suspicious acts to SEC Help
make them realize any risks that may arise to personal data and properly proceed with risk prevention in time.” _____________________________
should set up a working group to study and propose recommendations on information disclosure guidelines for listed company related to financial statements and annual registration statements to properly
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
been in place, so that the SEC imposition of supervision and enforcement measures will be considered proportionately and appropriately, in favor of such business operators. The risk management manual
adjust the assumptions for cash flows projections of those subsidiaries to calculate the recoverable amount appropriately, and to consider the adequacy and appropriateness of the impairment loss for
considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a
case where the Office considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for
of the mutual fund, which properly reflect the mutual fund’s risk level, according to the guidelines attached to this Notification; (3) classification of investment units, at least including the