well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality

guideline for selecting a suitable asset management companies and monitoring fund performance;  5) To provide a fact sheet for fund members to choose an investment plan; and  6) To provide information on

customer due diligence (CDD) to ensure a more comprehensive assessment aligned with customers’ income and occupation profiles, alongside ongoing monitoring of investment behavior. Where red flags are

and risks of organizations that will link their systems to ours. Duties and responsibilities are clearly defined in the contract entered into with those organizations, while risk-monitoring measures

ของไทยไดม ี การกําหนดนยิามผูลงทุน NRI ไวหมายถึงผูลงทุนสถาบันและผูลงทุนรายใหญ) นอกจากนี้ การเสนอขาย ตองกระทําผาน local intermediaries ของ host country ซ่ึงคณะกรรมการ ก.ล.ต. และคณะกรรมการ ก.ต.ท

(Professional Mobility) โดยบทวิเคราะห์ที่จัดท าโดยผู้ได้รับ อนุญาตในประเทศต้นทาง (home country) จากประเทศใน ASEAN ทั้ง 10 ประเทศ จะสามารถน าไป เผยแพร่ในประเทศปลายทาง (host country) ภายใน ASEAN ได้ ภายใต้เงื่อนไข

business operation. Meanwhile, Senior Management ensures that policies, processes and systems for controlling, monitoring and reporting risks and capital are in place whereas segregation of duties and

by the palm oil price situation in the country which remains low. Moreover, the domestic production capacity increased by 1.20 million litres per day from the same period of the previous year, led to

between the public and private sector to help develop economy across the country. At present, a number of local businesses with strong growth potential located in every province but yet to have access to

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection