in the Capital Market dated June 3, 2014 which has been promulgated in replacement of the said two notifications.
Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which has been promulgated in replacement of the said two
. TorLorThor. 8/2555 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which has been promulgated in replacement of the said two notifications.
Market dated June 3, 2014 which has been promulgated in replacement of the said two notifications.
Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which has been promulgated in replacement of the said two notifications.
เสี่ยง - เตือนว่า product เสี่ยงสูงหรือซับซ้อนมากกว่าปกติ และ ให้ข้อมูลความเสียหายจาก unexpected return - มีเครื่องมือหรือสื่อประกอบการอธิบาย เช่น video clip/ visualized presentation 7 เรื่อง ความเห็นจาก
ผู้ประกอบธุรกิจอำจพิจำรณำ ด ำเนินกำรไปพร้อมกับกำรท ำ suitability test หรือไม่ก็ได้ ทั้งนี้ ส ำนักงำนจะซักซ้อมค ำถำม ส ำหรับกำรท ำ knowledge assessment ให้ผู้ประกอบธุรกิจทรำบต่อไป (7) VDO clip
client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of