sort out the training and renewal requirements during the social distancing period. In this regard, fund managers, derivatives fund managers, investment analysts, investment consultants and investment

developing business and human rights training courses for business sector in the Thai capital market is an assigned mission under the National Action Plan on Business and Human Rights Phase 1 (2019 – 2022

AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific

) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

every firm  passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take

The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less

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