holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling derivatives contracts; 1
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
การดูแลตนเอง เช่น มีความรู้ ในการลงทุน มีฐานะทางการเงินที่รับความเสี่ยงจากการลงทุนได้ เป็นต้น โดยตวัแทนขายจะต้องท า suitability test1 รวมทั้งด าเนินการให้แน่ใจได้ว่า ผู้ลงทุนมีความเข้าใจในสินค้าที่จะ
Advisory or an Undertaking of Derivatives Business In the Category of Derivatives Investment Advisory ______________________ Whereas nowadays the giving of advice on the value or the suitability of
the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3
shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3 (12) clients’ asset An