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
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
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
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract
/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
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make