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
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
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
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that 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
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
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
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
ให้บริการ ด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้าแก่ลูกค้า (soft skill) เช่น เทคนิคการให้คำแนะนำลูกค้า เป็นต้น 2.2 ความรู้เกี่ยวกับกฎ ระเบียบ จรรยาบรรณ หรือกฎหมายที่เกี่ยวข้อง เช่น - กฎเกณฑ์เกี่ยวกับการ