Bangkok, September 23, 2013 ? The SEC is now seeking public comment on introducing an approval regime for technical analyst and the revisions of qualifications of investment analysts and investment
the issuer. Nonetheless, the issuer must maintain its qualifications and compliance with approval conditions as well as disclosure requirements all through the program; unless otherwise, the approval
case with hedge funds. Meanwhile, the investor qualifications would also be revised to ensure that only accredited investors with matching risk profiles would be eligible to invest in higher risk mutual
prohibited characteristics pursuant to Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board concerning qualifications and
concerning qualifications and prohibited characteristics of executives of derivatives business operator; (5) Being able to show that any individual being its major shareholder does not have any prohibited
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such
shares as specified under Paragraph 4 of Section 25. Chapter 1 Qualifications of a License Applicant __________________ Clause 3 An applicant for the agricultural derivatives business license shall be: (1