) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the test, reviewing
test. In addition, intermediaries must inform AI to be aware that they might receive less information than that receive in the course of public offering of securities. Taking suitability test may be
ควำมเสี่ยงที่ตนเองยอมรับได้ (2.4) ผู้แสดงควำมคิดเห็นไม่เห็นด้วยกรณีที่ลูกค้ำปฏิเสธกำรให้ข้อมูล ท ำให้ไม่สำมำรถท ำ suitability test ได้ ให้ผู้ประกอบธุรกิจปฏิเสธกำรให้บริกำรนั้น และหำกผล suitability test
from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case
product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The
and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the
แตไ่มเ่กนิ 15 วัน เกนิ 15 วันแตไ่มเ่กนิ 30 วัน เกนิ 30 วัน 7 2. รายงาน IT usage capacity : จัดทำและจัดส่งสำนักงาน ก.ล.ต. เป็นรายเดือนภายในวันที่ 10 ของเดือนถัดไป คำอธิบาย: (1) Stress test result คือ ผลการ
in the investigation process. In addition, the administrative expenses had been increased as a result of a provision and an amortization of non- refundable deposits amounting to Baht 42.73 million due
considered as the commission of offences under (3) and was named in the SEC Office’s complaint filed with the inquiry officer, and the case is in the inquiry officer’s process or the public prosecutor’s