at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel

Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5

consideration by more experienced engagement team member. If yes, please describe the policies and procedures If no, how the firm obtains assurance that work done is appropriate? 6 Do the firm’s policies and

เกณฑ์ใหม่ตามสิ่งที่ส่งมาด้วย 4 3.2.2 experienced staff (1) การพิจารณาประสบการณ์การติดต่อและให้บริการลูกค้าในการ เสนอขาย product ร่วมกับคนขายมาไม่น้อยกว่า 10 ปี ในวันที่ประกาศมีผลใช้บังคับ สำนักงานจะ

knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development