person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from
. The examples of the control of access to information systems and applications under Clause 20(3)(b) are the protection against brute force log-on attempts and the retention and examination of log-in
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
. [A] 2.3 Examination · Requestor and computer division include other concerned user shall participate in examination in order to ensure that operational computer system, which developed or altered
expiration of the approval term can submit their ‘pass’ examination result or their graduation evidence in filing for renewal approval with the Office without having to attend any further training. 3
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of