service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities regulator. “market maker” means a person who is appointed to provide
ความปลอดภัยระบบคอมพิวเตอร์แม่ข่าย และในกรณีที่พบว่ามีการใช้งานหรือเปลี่ยนแปลงค่า parameter ในลักษณะที่ผิดปกติ จะต้องดำเนินการแก้ไข รวมทั้งมีการรายงาน โดยทันที [M] · ต้องเปิดใช้บริการ (service) เท่าที่
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
licensed to undertake securities business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules