listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
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
personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of
, the calculation of fair value, accounting and information disclosure. Each unit should also have its own personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription
ผีูใ้ชง้านนติบิคุคลหรอืคณะบคุคล หรอื company account ซึง่สามารถใชเ้ป็น ตราประทับไดด้ว้ย น า company account ไปใชใ้นการแจง้รายชือ่ผูบ้รหิารบญัชผีูใ้ชง้าน หรอื account administrator ซึง่ มหีนา้ทีบ่รหิารบญัช
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