นอกจากการใช้คุณสมบัติตามกรณีที่ 56 ( ( ไม่ต้องเข้ารับการทดสอบ แต่ให้ผ่านการอบรมหลักสูตรเตรียมความรู้ (full course) หรือหลักสูตรทบทวนความรู้เพื่อใช้ในการต่ออายุ (refresher course) 7 ไม่ต้องเข้ารับการทดสอบ
refresher course5) 6 ผู้ที่เคยเป็นผู้จัดการกองทุนที่ใช้คุณสมบัติตามกรณีอื่นนอกจากการใช้คุณสมบัติตามกรณีที่ 56 ( ( ไม่ต้องเข้ารับการทดสอบ แต่ให้ผ่านการอบรมหลักสูตรเตรียมความรู้ (full course) หรือหลักสูตรทบทวน
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
. Balance at end 25x1 x x x x x x x (x) x x /1In case of the company have both ordinary share and preferred share, it shall separate ordinary share and preferred share. And in case of having both a surplus
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of business undertaking; “executive