Standard แก้ไขเพิ่มเติม พฤษภาคม 2561 เอกสารเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการลงทุนในหลักทรัพย์ต่างประเทศ การลงทุนในหลักทรัพย์ต่างประเทศมีความเสี่ยง ผู้ลงทุนอาจสูญเสียเงินลงทุนไม่ว่าทั้งหมดหรือบาง
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
, Clause 37, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties , responsibilities, or
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
company shall perform as follows: (1) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and