Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business in the category of investment advisory service; (3) be able to show that its
business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show that its operational system will be prompt for operating securities business in the category
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
ประเภท 3 (IC complex 1 / IC complex 2 / IC complex 3) (ตารางคุณสมบัติ หน้า 38-49) - คุณสมบัติของผู้ขอความเห็นชอบเป็น ผู้แนะนำการลงทุนด้านตราสารทั่วไป (IC plain) (ตารางคุณสมบัติ หน้า 50-53) หลักสูตร