Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
process of the regulatory framework is completed. In addition to meeting the required minimum paid-up capital, the intermediaries are also subject to maintaining on-going capital requirement (Net Capital
deemed illegal Q: Does whistleblower protection measures cover auditor? A: Yes. Q: Is the requirement for auditor to report suspicious circumstance of the management's misconducts considered as
following month, and within two working days from the date NC =< 1.5 times of minimum requirement Quarterly Reports Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552
company secretary. Nevertheless, the fundamental intention of the company secretary requirement is to assign a responsible person for preparing and storing the company's important documents. To appoint any
case of witness examination, there is no statutory requirement for the court to grant a prior approval. Such supportive conditions allow shareholders to exercise the right to enter a legal action more
instance, securities intermediaries, asset management companies, investment consultants and derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For