Individual Investment Account รวมถึงส่งเสริมบทบาทของนักลงทุนสถาบันอย่างต่อเนื่อง นอกจากนี้ ก.ล.ต. ยังให้ความสำคัญกับการเพิ่มประสิทธิภาพในการกำกับดูแลและบังคับใช้กฎหมาย โดยได้ยกระดับการสร้างความเข้มแข็งของ บจ
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
) Personal planning for business expansion (if any). In case where no personnel have been hired, the applicant shall submit the criteria for qualifications of such positions. □ 3. Supporting documents for
, scope of work and responsibilities, and proportion of time consumed for asset custody function to the total time of working; □ (c) Personal planning for business expansion (if any). In case where no
derivatives in accordance with the latest financial statements audited by auditor; (2) individual when combining with spouse having any of the following characteristics: (a) having net asset value not less than
plans for each measure, as follows: Quality Demand: (1) Cultivate long-term investment culture through individual investment accounts to enable investors to convert their savings into long-term
a money borrowing; “connected person” means any individual or juristic person having one of the following relationships with the director, executive, major shareholder or controlling person of a
employee corresponding to the expansion of the company, expense on hiring of independent specialists such as external auditor, internal auditor, and legal and accounting advisors, remuneration for directors
expense, expense on hiring of independent specialists such as external auditor, internal auditor, and legal and accounting advisors, remuneration for directors and meeting allowance for non-executive
mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA