Interest; CRA Responsibilities to the Investing Public, Rated Entities, Obligors, Underwriters, and Arrangers; Governance, Risk Management, and Employee Training; and Disclosure and Communication with Market

(training) เกี่ยวกับ product ให้ตัวกลาง ผู้ลงทุน - ผู้ลงทุนซื้อ product สอดคล้องกับเป้าหมายการลงทุนและศักยภาพในการรับความเสี่ยง - ผู้ลงทุนได้รับข้อมูลครบถ้วน และไม่ท าให้ส าคัญผิด (mislead) - ผู้ลงทุนมี

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert

(     ) Subscription in excess of rights offering (     ) Exercise of conversion rights (     ) By way of inheritance 2.2 (     ) Commencement of status of a concert party (     ) Termination of status of a concert