Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
à¸Łà¸²à¸£à¸²à¸⁄ทุà¸fiสมà¸ıà¸±à¸Łà¸´à¸£à¸§à¸¡ 19-10-18 (P23 P43).pdf Qualifications of the Applicant for Approval as ASEAN Investment Analyst No. Work Experiences / Relevant Knowledge
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
i CORE COMPETENCIES FRAMEWORK ON FINANCIAL LITERACY FOR INVESTORS 3 2. CORE COMPETENCIES FRAMEWORK ON FINANCIAL LITERACY FOR INVESTORS 2.1. The Framework A. AWARENESS AND KNOWLEDGE, i.e. can B
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
, employs a proper internal control system, and establishes an efficient and effective risk management system. To perform such roles, the audit committee, therefore, needs adequate knowledge and understanding
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
personnel should have knowledge and understanding of the responsible work e.g. the compliance officer should have knowledge and understanding of all type of financial instruments in which the fund may invest
knowledge-sharing sessions the SEC hosted for other stakeholders throughout the year. Some of these deficiencies and issues are common within the region and some are widespread beyond our region so to
importance of enhancing our employees’ knowledge and understanding of financial products and services, keeping them abreast of knowhow and new business formats in the fast- changing digital age. Our focus is