. 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
investing in real estate projects without having to put up a sizable outlay as normally required in a direct investment in real estate. Furthermore, the investment is professionally administered by experts in
ประกาศ ทจ. 15/2553 มีเงินกองทุนสภาพคล่องสุทธิ (NCR) อยู่ระหว่างเกณฑ์ขั้นต่ำ - early warning มีเงินกองทุนสภาพคล่องสุทธิ (NCR) มากกว่าระดับ early warning ใช้คุณสมบัติของ third party ครั้งแรก/ รายใหม่ ใช้
; 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
conditions will be simple which only require the decision of the shareholders' meeting, without having to clearly state that the shares are allocated to directors, employee) Securities: Shares Convertible
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
มั่นว่ามาตรการ/กฎเกณฑ์ดังกล่าวจะสามารถนำไปสู่ผลที่คาดหวังได้ (สมผล) รวมทั้งมีการทบทวนความเหมาะสมของมาตรการ/กฎเกณฑ์ดังกล่าวเป็นระยะ ๆ ด้วย 6. ชัดเจน ปฏิบัติได้ (Clear, Simple, and Practical for Users
deemed appropriate: direct investment with ownership in the assets: suitable for infrastructure assets with transferable ownership such as infrastructure of private entities; investment in income
Making an initial and direct contact with the compliance unit of the securities / derivatives intermediary under complaint would allow the intermediary to rectify or take necessary action before further