consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as
undertaking of finance, securities and credit foncier businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial
other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other
commercial bank under the law on commercial bank; (2) a finance company under the law on undertaking of finance business, securities business, and credit foncier business; (3) a life insurance company under
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
and exchange; (4) Life insurance company under the law on life insurance business; or (5) Financial institution established under specific law. Clause 4. The person under Clause 3 will be granted the
, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under
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
ให้บรรลุวัตถุประสงค์การลงทุนของตนเอง เช่น · ผู้ลงทุนที่มีอายุมากหรืออยู่ในปลายวันทำงาน (Late Career Life) หรือ เป็นผู้ลงทุนประเภทระมัดระวังที่พยายามหลีกเลี่ยงความเสี่ยง ควรจะเลือกลงทุนในตราสารที่มีความ