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
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with
group of companies; - Shareholding diagram of the group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
class of units shall have equal rights and benefits; (2) different class of units may differ in the rights and benefits provided for the unitholders in the following cases: (a)3 the nature and conditions