material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client

phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment

Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In

Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency

order to assess suitability before investing in or entering into a transaction of such capital market product. In this regard, such examination shall be in accordance with the suitability test as

into a transaction of such capital market product. In this regard, such examination shall be in accordance with the suitability test as determined by the SEC Office. The first paragraph shall not be

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

appointment for examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally

health examination to comprehensive diagnosis and preventive care. Moreover, the hospital opened the advanced pediatric center that provides child care services from birth to teenage by a specialized

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