suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution

Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

to the Office within thirty days from the date on which the resolution is passed. Clause 6. In case that the Bank of Thailand revokes or cancels the approval for any auditor of the finance and

where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days

rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding

deemed that the intermediary has obtained an approval from the SEC Office to appoint such person: (1) the approved person to be fund manager; (2) the approved person to be REIT manager who has passed level

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a