to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies

] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure

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

of inside information between units and personnel, internal control and risk management for operation of derivatives business in the category to be commenced including measure for controlling and

analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules

) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ

following rules: (a) fourteen days from the date on which the management company has commenced the disclosure of the information under Division 4 of Chapter 1 in this Part had lapsed; In this regard, such