· 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
account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is
stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements