, the investment advisory company shall notify the customer that securities investment may encounter both of the return and risk, regardless of the usage of advice from the investment advisory company
expenditure because there was a problem of purchase power and incomes that remained not recovered. Household income in agriculture sector remained encounter with additional pressure from the flood situation in
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Derivatives Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Securities Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
, the audit firms should always consider fundamental factors, such as audit partner’s capabilities and experiences. During the 2015 audit inspection, the SEC found that complicated audit engagements of
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN