shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
conduct a significant amount of in-house training? How does the firm ensure that their staff understand the knowledge? 13 Discuss how accounting and auditing technical updates are communicated to audit
just voting. Activities may include monitoring and engaging with companies on matters such as strategy, performance, risk, capital structure, and corporate governance, including culture and remuneration
wealth advice อย่างครบวงจร ท้ัง 5 ขั้นตอน ถ้าไม่มี ขาดขั้นตอนใด [ ] การส ารวจและรู้จักตัวตนของลูกค้า (explore & understand) [ ] การก าหนดแผนจัดสรรการลงทุน (portfolio construction) [ ] การลงทุนตามแผนจัดสรร
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
/starttogrow) for SMEs, Startups and interested public. The presentation and functionality of this microsite focus on the simplicity and nice-looking features and contains easy to understand contents. It is
investors should understand, minimise and manage the conflicts of interest that they face and behave ethically, ensuring that they maintain focus on advancing beneficiary or client interests and disclosing