; 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
completed within 60 days, for which the mutual fund management company may request the SEC's approval for extending the time for completing the corrective action according to (1). In submitting the request
completed within 60 days, for which the mutual fund management company may request the SEC's approval for extending the time for completing the corrective action according to (1). In submitting the request
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
meeting. Besides, extending the register closing gives the shareholders more time to register changes in share ownership. Q: What is the procedure for holding the Annual General Shareholders' Meeting
หรือ NCR ≤ 1 . 5 เท่าของเกณฑ์ขั้นต่ำ ( early warning ) 1.1 กรณีประกอบธุรกิจหลักทรัพย์หรือธุรกิจสัญญาซื้อ ขายล่วงหน้าเพียงอย่างเดียว NCR ≤ 10 . 5 % หรือ NC ≤ 22 . 5 ล้านบาท 1.2 กรณีประกอบ
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
ประกาศ ทจ. 15/2553 มีเงินกองทุนสภาพคล่องสุทธิ (NCR) อยู่ระหว่างเกณฑ์ขั้นต่ำ - early warning มีเงินกองทุนสภาพคล่องสุทธิ (NCR) มากกว่าระดับ early warning ใช้คุณสมบัติของ third party ครั้งแรก/ รายใหม่ ใช้
. 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
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active