undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

Fundamental of Financial Statements (UFS) [  ] Role of the Compensation Committee (RCC) [  ] Improving the Quality of Financial Reporting (QFR) [  ] DCP Refresher Course [  ] others (please specify) [ specify

specifying that the advice is given on behalf of the investment advisory company and the investment advisory company shall be responsible for the advice given to each customer; (4) statements on fundamental

________________ Clause 13 5 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client, provided that such process shall

prior approval from the Office, which will help facilitate their business operation.

force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016

งานวิจัยภายในเป็นส่วนใหญ่ · ให้ระบุแหล่งที่มาของข้อมูลที่ใช้ในการวิเคราะห์ · มีการพิจารณาความน่าเชื่อถือของข้อมูลอย่างไร · ใช้วิธีอะไรในการวิเคราะห์ เช่น fundamental analysis, technical analysis เป็นต้น

mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset