limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of
for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC
เสี่ยงสูงหรือมีความซับซ้อน ("กองทุน complex") ไม่เป็นไปตามประกาศกำหนด โดยไม่มีการนำผลประเมินความรู้ความสามารถในการลงทุนของลูกค้า ("knowledge assessment") ไปใช้ประกอบการให้บริการขาย
benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable
IPO and listing on the stock exchange. The seminar also included a knowledge sharing session among supervisors and insights into the financial advisors' role from the perspective of regulators
youngsters’ knowledge on savings and financial disciplines and cultivate a personal finance ability as a life skill, starting from young ages to grow a strong saving habit in adulthood.
opened with a securities company. For example, having advanced knowledge of which stocks his clients would trade and when, Sanguan ordered to buy the exact same stocks for his relative?s account before
innovative knowledge, creative thinking, and innovative change. A total of 48 staff members from 16 departments (13 teams) participated in the event this year with qualified experts as the judges giving the
market. The event gave an opportunity to gain knowledge and experience as well as to exchange views among the SEC, researchers, educational institutions, businesses in the capital market, and both public