; 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
via Form 56-1 and Annual Report as well. Q: Is a delayed disclosure of company secretary information and document storage location a breach of obligation? A: Although such delay is not a criminal
via Form 56-1 and Annual Report as well. Q: Is a delayed disclosure of company secretary information and document storage location a breach of obligation? A: Although such delay is not a criminal
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
. 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
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
ประกาศ ทจ. 15/2553 มีเงินกองทุนสภาพคล่องสุทธิ (NCR) อยู่ระหว่างเกณฑ์ขั้นต่ำ - early warning มีเงินกองทุนสภาพคล่องสุทธิ (NCR) มากกว่าระดับ early warning ใช้คุณสมบัติของ third party ครั้งแรก/ รายใหม่ ใช้
. TorThor. 8/2551) To be filed before the commencement date of branch office. Notifying Report on Location Change of Headquarter, Full Branch, or Cyber Branch (Form 98(9)-1) (Notification OrThor. 12/2543
such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or