manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

expert to give opinions on the dispute. An expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s

Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC

Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC

corruption involvement; (2) Guidelines for controlling, preventing and monitoring corruption-related risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4

decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5

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

Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any

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