market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund

offered for sale by one of the following means: (a) being an outbound product which is offered for sale in the countries in which the regulators under (2) are located (skin in the game); (b) being an

which is offered for sale by any of the following means: (a) being an outbound product which is offered for sale in the countries wherein the regulators under (2) are located (skin in the game); (b) being

function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved

suitable for his/ her investment purpose and financial status or not. With respect to trading options, the Client should also understand other relevant terms and conditions, including type of options, e.g

the game) (ข) เป็นผลิตภัณฑ์จากต่างประเทศที่เป็นตราสารหนี้ที่ได้รับอนุญาตให้เสนอขาย ในลักษณะโครงการ (Debt Issuance Program) จากหน่วยงานกำกับดูแลตาม (2) เพื่อผู้ลงทุนแต่ละรายแบบเฉพาะเจาะจง (tailor-made