Microsoft PowerPoint - slide friday training ชองทางการตดิตอคณะทํางาน ใหคําปรึกษาตอบคําถามทางจริยธรรม และขับเคลื่อนจริยธรรม E-mail : HRDirector@sec.or.th Line
; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Office” means the Office
responsible for the work of a department in the company; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
เฉพาะ เป็นต้น นอกจากนี้ ส านักงานได้ก าหนดให้มี self-monitoring ในการปรับปรุงเกณฑ์ที่เสนอใหม่อยู่แล้ว Plain/Common Risky/Complex training & Flyer designated Sales person suitability test + basic asset
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office; (b) In
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
the first attendance of such training occurs after such approval has been granted, in which case the Office may extend the interval of such training beyond two years. If any person, who has been granted