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
according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its own proprietary portfolio resulted from an error in
) a purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio
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
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
/Khet…… Province ………… Postcode ……….. Telephone number …………...... Name of householder …………………… Relationship ……….…… 3. Information on level of education and working experience: 3.1 Highest level of
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
Contact and Category B Investor Contact. Clause 5. The applicant for approval as category A investor contact and category B investor contact shall have education and/or work experience and knowledge on
สร้างความตระหนักรู้ (awareness education) เกี่ยวกับการรักษาความมั่นคงปลอดภัยของระบบสารสนเทศแก่พนักงานและผู้ให้บริการภายนอก ที่ปฏิบัติงานภายในองค์กรอย่างสม่ำเสมอ โดยเนื้อหา ต้องสอดคล้องกับนโยบายด้านการ