portfolio advisory or investment strategy of program trading , an intermediary shall proceed as follows: (1) prescribe the method and procedure for clients to select a portfolio advisory or investment
loophole of program of system software such as DBMS operational system and web server etc.. [M] · Testing the system software related to the security and operation effectiveness prior to installment and
การคัดเลือกและ ส่งคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนโดยอัตโนมัติ ซึ่งไม่สามารถถูกแทรกแซงขั้นตอนการส่งคำสั่งได้ ทั้งนี้ เป็นไปตามกลยุทธ์การลงทุนที่ลูกค้าเลือกจากการนำเสนอของบริษัทนายหน้า (program trading
ในหลักสูตรดังต่อไปนี้ (1) Certified Investment and Securities Analysts Program (CISA) ระดับ 1 ขึ้นไป ซึ่งจัดสอบโดยสมาคมนักวิเคราะห์หลักทรัพย์ (2) Chartered Financial Analyst (CFA) ระดับ 1 ขึ้นไป ซึ่ง
): [ ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [ ] Director
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Additional Guidelines 1
one of Chartered Financial Analyst (CFA) program or Certified Investment and Securities Analyst (CISA) course or other equivalent curriculums as approved by the SEC Office. Clause 5 An application for
2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural