กล่าวมี ดังนี้ 1. การยอมรับหลักสูตร : ผู้ที่สอบผ่านหลักสูตรการทดสอบความรู้ทางธุรกิจ (“product knowledge”) ในประเทศตน สามารถนำผลการทดสอบนั้นไปใช้แทนการทดสอบ
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering
nature and complexity through appropriate training and participation; • understanding of professional standards and applicable legal and regulatory requirements; • technical knowledge and expertise
of the business, the company’s operations, relevant law and standards, and other applicable obligations. The board should support all directors in updating and refreshing their skills and knowledge
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
” seminar’s morning session involved a lecture given by, SEC Deputy Secretary-General Sirivipa Supantanet, to provide knowledge about the capital market which can be accessed by business operators and