of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
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
. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market products or [iii] selling capital market products by using
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
ให้บริการ ด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้าแก่ลูกค้า (soft skill) เช่น เทคนิคการให้คำแนะนำลูกค้า เป็นต้น 2.2 ความรู้เกี่ยวกับกฎ ระเบียบ จรรยาบรรณ หรือกฎหมายที่เกี่ยวข้อง เช่น - กฎเกณฑ์เกี่ยวกับการ