in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products
Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role