its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
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
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
undertaking its business, with the knowledge, skill and expertise necessary for discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the
ประเภท signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์ประเภทหุ้นของบริษัท (investment
ความร่วมมือภายในกลุ่มประเทศอาเซียน (MEMORANDUM OF UNDERSTANDING ON THE ACMF PASS UNDER ASEAN CAPITAL MARKET PROFESSIONAL MOBILITY FRAMEWORK) (ก) หุ้นที่เป็นหลักทรัพย์จดทะเบียนในตลาดหลักทรัพย์ประเทศ