regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to