(1) จัดให้มีการทดสอบความรู้เพื่อประเมินความเหมาะสมในการลงทุนหรือการทำธุรกรรม (Knowledge Test) เพิ่มเติม สำหรับการให้บริการลูกค้าที่เกี่ยวข้องกับตราสารด้อยสิทธิเพื่อนับเป็นเงินกองทุนประเภทที่ 1 ของ
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
business schools, aiming to publicize researches and exchange of knowledge and experience between academics and capital market industry.
to publicize researches and exchange of knowledge and experience between academics and capital market industry.
knowledge among the public; and (6) enhancing SEC efficiency to attain sustainable growth and drive the success of policy implementation. Rapee added that the plan will aim to establish a foundation with
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
. launched Thailand?s first financial reality show ?The Money?. The show emphasizes on financial knowledge, especially personal finance, to Thai people across the country and thus bringing about better
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