whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement
obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client
ทรัพย์หรือด้านตลาดทุน แล้วแต่กรณี และการมีประสบการณ์การทำงาน ที่เกี่ยวข้อง (2) เป็นผู้ที่ผ่านการอบรม แต่ไม่ผ่านการทดสอบตามหลักสูตรการวางแผนการลงทุน (Certified Financial Planner: CFP) module 1 และ module 2
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
risk, corruption risk, severe epidemic risk, etc.; 2.2.2 Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in
ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms for acceptable