the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as

anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives

disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35

the accounting standards on disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and

them are managed by the same mutual fund management company , which is prohibited by section 126(3) of the Securities and Exchange Act B.E. 2535 (1992) ; and (3) be according to conditions as prescribed

person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall

securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph