. Others include preparation of financial statements, methods to contact and service customers with identification of customers’ real identities or real beneficiaries, evaluation of customers’ investment
solutions and search for financial information. The SEC will also hand out toolkits for trainees as guidelines for their internal activities and evaluation. Also featuring in the training course will be those
proactively review the risk management approach and policies annually or with any significant business change; g) ensure a formal, fair and transparent process for nomination, election and evaluation of
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
spread between finished product and crude oil in every product category, and from the higher average crude oil price; resulting in an Inventory Gain of THB 834 million, exceeding 2016’s. Moreover, there
assessment, suitability test and checklists for explanation of the structured notes features and information. {A} admitted that he did not contact the client and not give any investment advice.Signing the
-evaluation) หรือคณะกรรมการอาจพิจารณาใช้วิธีประเมินแบบไขว ้ (cross evaluation) ร่วมด้วยก็ได้ รวมทั้งเปิดเผยหลักเกณฑ์ ขั้นตอนและผลการประเมินในภาพรวมไว้ใน รายงานประจาปี 3.7.3 คณะกรรมการอาจพิจารณาจัดให้มีท่ีปรึกษา