knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as
shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case where the price being offered with conditions, securities company shall clearly
case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the
, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case
shall provide sufficient data or documentary evidence to ascertain the client’s investment objectives, knowledge, understanding and experience regarding securities investment for the purpose of
client, the securities company shall provide sufficient data or documentary evidence to ascertain the client’s investment objectives, knowledge, understanding and experience regarding securities investment
that the contents added in brackets [….] have only been provided in the English version for clearer understanding. law on financial institution business means Financial Institution Business Act B.E
[….] have only been provided in the English version for clearer understanding.
หน่วยงานก ากับดูแลต่างประเทศดังกล่าวเป็นสมาชิกของ IOSCO และเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information