by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by and registered with
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
association or a training institute, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall
ในต่างประเทศส่วนใหญ่ จะทาํหนา้ที 3 ดา้น กล่าวคือ (1) เป็นองคก์ร กาํกบัดูแลตนเอง (self-regulatory organization) (2) เป็นสมาคมการคา้ (trade association) เพือบริการสมาชิก และ (3) เป็นสถาบนัความรู้ของ
reliance on sales in China. At present, the Company’s products are well- received in the Philippines but still could not make up for the slowdown in sales in China. The Company is committed to expanding
/CDD แทนตน ยกเวน เฉพาะในสวนที่เปนการพบลูกคา (face-to-face meeting) เมื่อลูกคามีการเปด บัญชีหรือเร่ิมทําธุรกรรม แตจะตองจดัใหมีการดําเนนิการตามเงื่อนไขที่กําหนด (third party reliance) • การทํา on
its revenue streams which mitigate the risk of reliance on sales in China. At present, the Company’s products are well - received in the Philippines but still could not make up for the slowdown in sales
customer base and diversify its revenue streams which mitigate the risk of reliance on sales in China. At present, the Company’s products are well - received in the Philippines but still could not make up
companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other