comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better
become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their functions pursuant to such policy. Clause 18 The
securities offering prior to the effective date of the registration statement and draft prospectus. Clause 11. A securities underwriter shall not disseminate an article or research paper prepared by itself, a
underwriter shall not disseminate an article or research paper prepared by itself, a co-underwriter or a related securities company which relates to underwritten securities or other securities relating to
จัดสอบโดย Association for Investment Management and Research (AIMR) หรือ (3) หลักสูตรอื่นใดที่เทียบเท่าตามที่สมาคมกำหนด ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันถัดจากวันประกาศในราชกิจจานุเบกษา เป็นต้นไป
work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
number of eligible service users; (6) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (7) having the study or research results that
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions