(1) จัดให้มีการทดสอบความรู้เพื่อประเมินความเหมาะสมในการลงทุนหรือการทำธุรกรรม (Knowledge Test) เพิ่มเติม สำหรับการให้บริการลูกค้าที่เกี่ยวข้องกับตราสารด้อยสิทธิเพื่อนับเป็นเงินกองทุนประเภทที่ 1 ของ
acknowledged the benefit of ?Pride of the Provinces? Project to local business operators nationwide as it provides them with knowledge about the capital market and encourage them to use the Thai capital market
accepting any audit engagements; assess the firms? adequacy of human resources with sufficient skills, knowledge, and capabilities to deliver high quality audit work; and improve risk assessment criteria to
share offering information and, prior to making investment, must pass knowledge test on risks associated with the investment. In case of retail investors, each investor is allowed to buy shares not
requirements to emphasize the importance of corporate governance practices and corporate social responsibility and the disclosure thereof. The SEC also supports training to enhance knowledge and experiences of
of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients? profiles via three websites: www. giltedgeintl.com, www.on
professional knowledge and expertise in performing duties. Another investor contact is reprimanded for performing unassigned tasks. All cases have taken effect as from December 31, 2011.Suspensions: {A}, an
good understanding of the businesses operated by the Company, and also have experience in investments in large-scale businesses. Their investment policy http://www.setsmart.com)/ 4/10 also includes the
adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant organizations; or (2) the committee has already prescribed
บังคับให้ต้องท่า self-monitoring หลังการขาย แต่ควรก่าหนดให้เป็นทางเลือก 1.3 กรณีการเสนอขาย complex product : เสนอดังน้ี (1) Knowledge assessment - ขอท่า knowledge assessment เป็นกลุ่มผลิตภัณฑ์ โดยไม่แยกราย