Chartered Financial Analyst (CFA) or Certified investment and Securities Analyst (CISA) level one or any other comparable curriculums approved by the SEC Office in applying for an approval to be listed in
. Maintenance of status 1. The Contacts being approved on a basis of being an executive of a securities company, mutual fund manager or private fund manager will be granted renewal of the approval if they
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the
approved the proposed revision with the key points as follows: (1) To separate the criteria for IA approval renewal from those for IC and IP to allow for the specific determination of knowledge
2: Consideration and approval of the authorization for the bondholders' representative to enter into a settlement agreement with the company in court, according to the terms approved by the
Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from