institution having relationship as its parent company, subsidiary company, or associate company, the derivatives broker shall receive consent given in writing from the client prior to the foregoing process. The
associate company as an agent, the securities company shall inform its clients of such relationship as well. The definitions of the terms “ parent company ,” “ subsidiary company ” and “ associate company
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
รู้เกี่ยวกับ สัญญาซื้อขายล่วงหน้า ( 4 ผู้ที่ทดสอบผ่านหลักสูตร Certified Financial Planner (CFP) หลักสูตรใหม่5 ( ( ( ( 5 ผู้ที่ทดสอบผ่านหลักสูตร Associate Financial Planner Thailand (AFPT)6 ( ( ( ( 6 ผู้
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient
standards of conduct: (1) perform duties with integrity and honesty; (2) perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
be specified in such a way that it is possible for screening and selecting a service provider who has sufficient and efficient work system; (c) expertise, experience and business reputations; (d