accordance with the first paragraph of Clause 38 if: (1) the elucidation of the person under consideration has ever been heard adequately by a panel which comprises of persons with knowledge and experiences in
for students and personnel from local and foreign institutions since 2000 to promote knowledge and understanding about the Thai capital market. Topics of interest include (1) SEC roles and
advice to the customer, taking into account various factors of the customer, such as the purpose of investment, knowledge and understanding of risk and investment, investment experience, financial position
to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management ; consideration on which shall be based on the company executives’ knowledge
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
, knowledge, understanding and experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening
and trust to manage investment capital with knowledge, ability, prudence and integrity in considering with the best benefit of investor. To avoid entering into transaction that may create conflict of
business which the service provider shall have creditworthiness and trust to manage investment capital with knowledge, ability, prudence and integrity in considering with the best benefit of investor. To
enables the sharing of 11/11 บริษทั นามยง เทอร์มนัิล จ ากดั (มหาชน) NAMYONG TERMINAL PUBLIC COMPANY LIMITED knowledge, management and business operation, etc., from NYK Group which is one of the world’s
an account that has a reasonable possibility of containing a material misstatement regardless of the effect of control Professional Judgment • The application of relevant knowledge and experience in