brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

เอกสารรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขประกาศเพื่อให้บริษัทหลักทรัพย์ต้องทำ suitability test สำหรับการจัดจำหน่ายหลักทรัพย์ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์

is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

and 2 attached herewith. The OFAR system will be available for a test run during 1-30 December 2016. Thereafter, intermediaries will be required to submit their daily status report via OFAR, starting

attempt log regularly, etc. 2. In order to comply with Clause 20(3)(c), the intermediary should consider putting in place the relevant procedures as follows: (1) require the use of individual user IDs and

able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the