should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for
วางแผนการลงทุน (Asset Allocation) ตราสารหนี้ กองทุน ตราสารทุน สัญญาซื้อขายล่วงหน้า ตราสารหนี้1 กองทุน2 ตราสารทุน สัญญาซื้อขายล่วงหน้า 1. นักวิเคราะห์การลงทุนปัจจัยพื้นฐานด้านตลาดทุน ( ( ( ( ( ( ( ( ( 2
) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification
ให้ผู้ประกอบธุรกิจต้องแจ้งให้ลูกค้าทราบถึงผลการประเมินความเหมาะสมในการลงทุนหรือทำธุรกรรม (“suitability test”) พร้อมทั้งให้คำแนะนำเบื้องต้นเพื่อให้ลูกค้าเข้าใจเกี่ยวกับ basic asset allocation ซึ่งจะมีผล
securities company shall provide information or evidentiary documentation related to verification of identity of its clients , the ultimate beneficiaries for the securities trading of the clients and the