securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (Unofficial Translation) - 8 - (5) significant
-face meeting) with staff of the securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
ต้องสอบผ่าน ตามเกณฑ์ท่ีก่าหนด 3. การทบทวนแบบประเมิน suitability test - หากลูกค้า inactive ในรอบ 2 ปีที่ผ่านมา ขอไม่จัดส่งเอกสารแจ้งลูกค้า แต่ใช้วิธี lock บัญชีของลูกค้า ใหไ้ม่สามารถท่าธุรกรรมต่อไปได้ โดย
chief executive officer appoints knowledgeable, skilled, and experienced key executives. The board or the nomination committee together with the chief executive officer should establish the criteria and
professional standards. Other causes included a scarcity of knowledgeable personnel with specific expertise such as financial reporting standards and auditing standards, insufficiency of clear and detailed audit
according to the recommendation of the Nomination and Remuneration Committee since they are knowledgeable and experienced, which would benefit to the Company’s operations 6. Propose to the 2020 Annual General
decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5
the termination will significantly reduce future costs. In addition, the Group has personnel who are knowledgeable and capable enough to be ready to carry out the tasks themselves. Finance costs For the