mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities

securities offering prior to the effective date of the registration statement and draft prospectus. Clause 11. A securities underwriter shall not disseminate an article or research paper prepared by itself, a

underwriter shall not disseminate an article or research paper prepared by itself, a co-underwriter or a related securities company which relates to underwritten securities or other securities relating to

relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for

of work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line

จัดสอบโดย Association for Investment Management and Research (AIMR) หรือ (3) หลักสูตรอื่นใดที่เทียบเท่าตามที่สมาคมกำหนด ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันถัดจากวันประกาศในราชกิจจานุเบกษา เป็นต้นไป

for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk