Business Personnel, who have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital
Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the
Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products
record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited
governance and regulatory requirements for new directors and executives Undertaking continued training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy
บริหารระดับสูง 12 ด้านท่ี 2 การคัดเลือกผลิตภัณฑ์และการจัดกลุ่มลูกค้า (Product Selection and Client Segmentation) 14 ด้านท่ี 3 การสื่อสารและการให้ความรู้แก่คนขาย (Communication and Training Program) 16 3.1
แก่คนขาย (Communication and Training Program) ด้านที่ 4 กระบวนการขาย (Sales Process) ด้านที่ 5 การกำหนดวิธีจ่ายค่าตอบแทน (Remuneration Structure) ด้านที่ 6 การจัดการเรื่องร้องเรียน (Complaint Handling
additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international