investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth
needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to
,? she added.? In any case, the SEC rulemaking on intermediaries? work systems emphasizes more on principles based approach and minimum requirements to better respond to business models and risk profiles
while the quality and price are reasonable. Also the Company has a plan to increase sales channels via E- Commerce in order to provide convenience to the customers who are the target to easily approach to
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
the category of mutual fund management; “Training institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and