the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
การคัดเลือกและ ส่งคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนโดยอัตโนมัติ ซึ่งไม่สามารถถูกแทรกแซงขั้นตอนการส่งคำสั่งได้ ทั้งนี้ เป็นไปตามกลยุทธ์การลงทุนที่ลูกค้าเลือกจากการนำเสนอของบริษัทนายหน้า (program trading
ในหลักสูตรดังต่อไปนี้ (1) Certified Investment and Securities Analysts Program (CISA) ระดับ 1 ขึ้นไป ซึ่งจัดสอบโดยสมาคมนักวิเคราะห์หลักทรัพย์ (2) Chartered Financial Analyst (CFA) ระดับ 1 ขึ้นไป ซึ่ง
): [ ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [ ] Director
be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated
rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding
loophole of program of system software such as DBMS operational system and web server etc.. [M] · Testing the system software related to the security and operation effectiveness prior to installment and