advisory company. Clause 14. Prior to giving the first general advice, the investment advisory company shall notify the customer that securities investment may encounter both of the return and risk

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

operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the

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

________________ 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