; 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
long term. Principle 3.5 The board should ensure that all directors are properly accountable for their duties, responsibilities and (in-) actions, and allocate sufficient time to discharge their duties
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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
หรือ NCR ≤ 1 . 5 เท่าของเกณฑ์ขั้นต่ำ ( early warning ) 1.1 กรณีประกอบธุรกิจหลักทรัพย์หรือธุรกิจสัญญาซื้อ ขายล่วงหน้าเพียงอย่างเดียว NCR ≤ 10 . 5 % หรือ NC ≤ 22 . 5 ล้านบาท 1.2 กรณีประกอบ
, responsibilities and (in-) actions, and allocate sufficient time to discharge their duties and responsibilities effectively. Guidelines 3.5.1 The board should ensure that there is a mechanism to support