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
type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
, it should assess related affect and record such alteration up to date, including communicate to the concerned person for acknowledgement. [M] · It should install software as necessary for operation and
for the necessary case only. [M] 6. Configuration management o Prior to configure the system and computer device, it should assess related affect and record such alteration up to date, including
policy guidelines for financial institution supervision to assess and forecast potential impacts on our capital and liquidity. Management guidelines have been established to ensure work system readiness
stakeholder engagement is in place that: (1) Clearly defines stakeholder engagement policies, procedures, and practices that enable the company to identify and assess the interests of each stakeholder group
website upon implementation of the MRF arrangement. 40. Upon receipt of the application documents, the SFC will have five working days to assess that all application documents have been duly and properly
maintained its growth momentum. Similarly, Thailand’s major economic indicators continued to exhibit growth, as evidenced by brighter exports, government spending and private spending on certain items of
monthly excess returns, visualized as bar charts in Figure 1, exhibit an interesting pattern. Average returns of stocks not held by mutual funds are substantially lower than those held by funds, while top
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related