Joop 3 (206 d:\) 1 2 ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 34/2544 เรื่อง คุณสมบัติผู้ประกันของกองทุนรวมมีประกัน อาศัยอำนาจตามความในข้อ 4 แห่งประกาศคณะกรรมการกำกับหลัก
; (d) purpose of investment or entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client , an intermediary shall consider received information as prescribed in
“opinion shopping”? 10 How does firm deal with domineering/awkward personalities at Board or senior management level? 11 How does firm deal with client disagreements? D Internal Pressures: 1 How do partners
assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the
client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life
derivatives trading; (c) [derivatives] trading information of the client and information on trading of the underlying asset by the client; (d) the information specified under (a), (b) and (c) of direct or
. has he/she been appointed as a director or to a key management position at the client? (d) If not a partner – were they a former member of the engagement team within the last two years and have they
the clearing date; (d) money which is divided or interest on securities or instruments owned by the client which the securities company receives on behalf of the client and the securities company has