; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
. The risk management policies should support identification and prioritisation of early warning signals of material risks. The risk management policies should be reviewed regularly, such as annually
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
responsibilities of the chairman and the CEO. The Stock Exchange of Thailand (“SET") has also announced the SET Regulation Re: Listing of Ordinary Shares or Preferred Shares as Listed Securities (No.6) B.E. 2020
หรือ NCR ≤ 1 . 5 เท่าของเกณฑ์ขั้นต่ำ ( early warning ) 1.1 กรณีประกอบธุรกิจหลักทรัพย์หรือธุรกิจสัญญาซื้อ ขายล่วงหน้าเพียงอย่างเดียว NCR ≤ 10 . 5 % หรือ NC ≤ 22 . 5 ล้านบาท 1.2 กรณีประกอบ
relations The type and amount of transaction Whether it is a market price or a fair price Whether the conditions are in accordance with ordinary business Necessity and reasonableness / opinion of the Audit
information different from registration statement in the filing /not implying or guaranteeing returns (excepted for projection figures), and entailing warning statements of risks. Investments Investments in