substantiated by reliable documentation, including taking into consideration investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the
have availability of personnel for the function of REIT manager, which shall be at least one supervisor being responsible for management of REIT’ s properties and at least 2 staffs who have knowledge and
once a year: (1) conduct testing on the business continuity plan with members and involved persons; (2) have the results of the testing under subclause (1) evaluated by a person with required knowledge
โดยมีกระบวนกำรดังนี้ - คัดเลือกคนขำยที่เหมำะสม - มีกำรประเมินควำมรู้ควำมสำมำรถในกำรลงทุน (“knowledge assessment”) ของลูกค้ำ โดยพิจำรณำจำกกำรศึกษำ ประสบกำรณ์กำรท ำงำนและกำรลงทุนของลูกค้ำ - มีแนวทำงอธิบำย
as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to
without own interest, whether directly or indirectly. In hiring any adviser to give advice to the board of directors under the duty of care, the board should consider (a) knowledge and ability of the
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
shall appoint a board of directors comprising the chairman of the board, executive directors, and independent directors, who have knowledge of and experience in the capital market or knowledge and
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction