education, product innovation and appropriate channels for different target groups. On the same token, businesses should make proper preparations and have a clear understanding of the roles and

warning statement on such securities trading. In May 2008, the SEC became a full signatory to the IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of

ชอบในการดำเนินการ กรอบความร่วมมือตาม (3) เช่น Memorandum of Understanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment

Securities Commissions (“IOSCO”) โดยหน่วยงานดังกล่าวต้องเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of

เป็นสมาชิกของ International Organization of Securities Commissions (“IOSCO”) โดยหน่วยงานดังกล่าวต้องเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning

) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction

shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the

company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer

follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer price and: (2) In the

hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with