for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
statement ทางการเงิน ย ้อนหล ัง นอกจากน ี ้ ย ั งให ้ล ูกค ้ าทำ แบบประเม ินความเหมาะสมในการลงท ุน (suitability test) โดยทุกขั้นตอนทำบนเอกสารที่เป็นกระดาษ (paper work) หลังจากนั้น ผู้ประกอบธุรกิจก็จะนำข้อมูล
abets, or has involved in or abetted such act of other persons; 7 7. having reasonable grounds to believe that the person neglects or has neglected to conduct proper examination in order to prevent the
Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the
related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any
Clause 15/3, the examination and certification documents of the mutual fund supervisor shall also be attached to the written request for a resolution or the written notice of the meeting; (3) have the
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and