seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

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

applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

to ensure that any preparation and giving of advice adheres to the generally-accepted principles and that such advice is substantiated by reliable documentation, including taking into consideration

rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an

International Standards on Auditing and I will perform audit works in compliance with the standards. 7. I entirely understand Generally Accepted Accounting Principles (GAAP). 8. I entirely understand my

as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as

รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า