$!')'#+","O% &'O.% bK$ K.* %!!(.%#$#()* SET #+"O(\*( +M$% O* .%!#()*.!P(!#$!()* SET (\*O*"%#[/+ #$ SET O*) ()*#%N bK$O%(\%( &\ )' \% market education )M* &\%%N "OP% !#+"#$()* R% non-commercial functions
additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of
investment products in response to the objective of sustainability. Concurrently, investor education campaigns will continue and cover all demographics. SEC Deputy Secretary-General Waratchya Srimachand
for their annual acknowledgement. Training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy were also undertaken via the KBank e-Learning system
Manufacturing Co., Ltd. SPI acting as major shareholder of both companies 6. Thai Bunka Fashion Co., Ltd. SPI acting as major shareholder of both companies 7. Waseda Education (Thailand) Co., Ltd. SPI acting as
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
throughout the period except for those of similar activities. 2. Further education (UNOFFICIAL TRANSLATION) 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA