course 3 หรือ refresher course4) ( (ยกเว้นผู้ที่ได้รับการอบรมหลักสูตร full course3 หรือ refresher course4) 5 ผู้ที่เคยเป็นผู้จัดการลงทุนในสัญญาซื้อขายล่วงหน้าที่ใช้คุณสมบัติตามกรณีอื่นนอกจากการใช้คุณสมบัติ
full course หรือ refresher course ) ( (ยกเว้นผู้ที่ได้รับการอบรมหลักสูตร full course 3 หรือ refresher course4) ( (ยกเว้นผู้ที่ได้รับการอบรมหลักสูตร full course3 หรือ refresher course4) 5 ผู้ที่เคยเป็นผู้
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
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
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
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
Thailand Securities Institute for no longer than two years on the date of submission of application or if more than two years, had attended a training course of a training institute or training course
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
in the register of person qualified to be fund manager. In granting an approval according to the first paragraph, the Office may specify a period for the applicant to attend the first training course