requirements of such person; (12) “ specific advice ” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1
of a securities investment; (11) “general advice” means an investment advice given to any person without considering the investment objective, financial status, or requirements of such person; (12
where there are many types of investment units; (b) requirements with respect to allotment of investment units, transfer of investment units, and restrictions on allotment and transfer, as well as
financial condition. I. Meeting of Debt Securities Holders Disclose details relating to the requirements for convening, attending or voting at a meeting of debt securities holders, if such a meeting can be
Position Analysis 24 4.3 Loans and Deposits 26 4.4 Treasury Operations 30 4.5 Capital Requirements 30 4.6 Credit Ratings 32 5. Operations of Support Groups 34 5.1 Human Resource Management 34 5.2 IT
จรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) 15 ดีมาก (1) ดีมาก (1) 3 การตอบรับงานและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและ งานแต่ละงาน (Acceptance and Continuance of Client Relationships and
) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work
-trade information; (d) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post- trading activities (audit
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of