persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its

customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of

company should know and be able to examine for incorrectness of the sum of each member’s savings to get the total amount to be payable to the fund and be able to identify each transaction that it is paid

activity The Contacts may accumulate their participation hours in the activities accepted by the Office provided that at least 15 hours of attendance are achieved during the latest two calendar years prior

tests as such have achieved goals set by companies in aspect of either a time used or recoverable data and that relevant persons have complied with the plan completely and correctly. Also, the report of