SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
Notification. Clause 11. For the purpose of rendering the securities companies to efficiently comply with the regulation prescribed in this Notifiaction with the same level of standard, the securities company
. ( - 2 the Certified Investment and Securities Analyst (CISA) Level 1, or the Chartered Financial Analyst (CFA) Level 1 Work experience in Thailand or foreign countries for a total period of not less than
holding of shares in each level exceeds 75 percent of the total number of outstanding shares of such company; (9) “Office” means the Office of the Securities and Exchange Commission. Clause 2. In cases
borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines
Investment and Securities Analyst (CISA) from level one onward; or 3.2 Having passed the course for Category A investor contact of the Office; or 3.3 Having passed other courses accepted by the Office. 4