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 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

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

/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

Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

shall apply for the following securities business licenses: (1) securities business license type A (ก); (2) securities business license type B (ข); (3) securities business license type C (ค); (4

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person

Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a