derivatives as follows: Approval for Category A Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management. * Having passed a course on relevant businesses knowledge and
related to securities and derivatives as follows: Approval for Category B Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management, Investment Advisory, Dealer, Financial
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of Funds dated 20 July 2009, the Office of the Securities and Exchange
approval of fund manager whose approval is based on their holding of executive positions in a management company which apply only to the Manager or equivalent positions, it is therefore necessary to issue
directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For
, in case of change in the information, management company shall update the information within fourteen days from the date of such change Chapter 2 Granting Approval and Performing Duty of Manager of
hereunder: “intermediary” means a securities company or a derivatives intermediary. “fund management company” means a securities company licensed to undertake securities business in the category of mutual
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives