its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time, business manner or circumstance, and

· 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

the People's Republic of China and Thailand  We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the

regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining

computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6

ประเภท signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์ประเภทหุ้นของบริษัท (investment

ความร่วมมือภายในกลุ่มประเทศอาเซียน (MEMORANDUM OF UNDERSTANDING ON THE ACMF PASS UNDER ASEAN CAPITAL MARKET PROFESSIONAL MOBILITY FRAMEWORK) (ก) หุ้นที่เป็นหลักทรัพย์จดทะเบียนในตลาดหลักทรัพย์ประเทศ