investment through a website or any other electronic media which may be securities analysis in a personal article accessible for the general public’s perusal or sharing of opinions on investment through a

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

release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause

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

information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy

shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2

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