business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates its business by maintaining corporate
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due