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
enables the investors to understand the differences among various types of investment. Clause 14. The advertisement related to ranking or awards received by the securities company or the fund shall comply
advertisement. Clause 10. The advertisement related to ranking or awards received by the securities company or the fund shall comply with the following conditions: (1) The advertisement related to ranking or
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
select three arbitrators ranking in preference order and notify the Office, in writing, within fifteen days from the date of filing the statement of claim or the date on which the mediation of dispute is
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
cover at least the following matters: (a) procedure and method for trading of the securities trading center and the ranking and matching of trading orders; (b) types of securities eligible for trading in
trading of the service offering system and in case of providing services of the system for matching trading orders, the information on the ranking and matching of trading orders shall be disclosed as well
exchange or deposit taker (issuer rating) as the case may be. In this regard, the ranking shall be in accordance with rules specified in Paragraph 1. If the issuer of certificate of deposit, maker of
of deposit, maker of promissory note, drawer of bill of exchange or deposit taker (issuer rating) as the case may be. In this regard, the ranking shall be in accordance with rules specified in the