product และดำเนินการให้มี sales process ที่สอดคล้องด้วย 3.1.5 sales process เพิ่มเติมสำหรับการขาย risky / complex product (1) การประเมินความรู้ความสามารถในการลงทุน (“knowledge assessment”) ของลูกค้า มี
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
person particular in engaging into transaction concerning with property or rental property right for property fund: (a) Mutual fund supervisor; (b) Assets assessment company appointed by management company