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
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
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
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
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
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
ให้บริการ ด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้าแก่ลูกค้า (soft skill) เช่น เทคนิคการให้คำแนะนำลูกค้า เป็นต้น 2.2 ความรู้เกี่ยวกับกฎ ระเบียบ จรรยาบรรณ หรือกฎหมายที่เกี่ยวข้อง เช่น - กฎเกณฑ์เกี่ยวกับการ