appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
Fundamental of Financial Statements (UFS) [ ] Role of the Compensation Committee (RCC) [ ] Improving the Quality of Financial Reporting (QFR) [ ] DCP Refresher Course [ ] others (please specify) [ specify
specifying that the advice is given on behalf of the investment advisory company and the investment advisory company shall be responsible for the advice given to each customer; (4) statements on fundamental
________________ Clause 13 5 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client, provided that such process shall
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
งานวิจัยภายในเป็นส่วนใหญ่ · ให้ระบุแหล่งที่มาของข้อมูลที่ใช้ในการวิเคราะห์ · มีการพิจารณาความน่าเชื่อถือของข้อมูลอย่างไร · ใช้วิธีอะไรในการวิเคราะห์ เช่น fundamental analysis, technical analysis เป็นต้น
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
or investing in capital market product whether or not the analysis is fundamental or technical, in conjunction with such consultation. “ fundamental analysis ” means an analysis to seek an appropriate