). Corruption may be considered one type of crime   and can be distinguished from ‘fraud’, ‘embezzlement’ and ‘extortion’. The essence of corruption is that two individuals or groups act in cooperation for their

). Corruption may be considered one type of crime   and can be distinguished from ‘fraud’, ‘embezzlement’ and ‘extortion’. The essence of corruption is that two individuals or groups act in cooperation for their

). Corruption may be considered one type of crime   and can be distinguished from ‘fraud’, ‘embezzlement’ and ‘extortion’. The essence of corruption is that two individuals or groups act in cooperation for their

). Corruption may be considered one type of crime   and can be distinguished from ‘fraud’, ‘embezzlement’ and ‘extortion’. The essence of corruption is that two individuals or groups act in cooperation for their

;​ 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

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

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