person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and regulations as well as ethics and professional
principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital
Code of Ethics on the IOSCO Objectives and Principles of Securities Regulation, with an emphasis on prevention of inside information and conflicts of interest. The SEC Board and staff shall abide by the
subsequently proposed recommendations and principles for amendment to the Securities and Exchange Act B.E. 2535 (1992) (the Securities and Exchange Act) in significant areas. For example, the granting of
, regulations, ethics or relevant laws e.g.: (a) Rules and regulations concerning undertaking of securities businesses or compliance with the law governing securities and exchange such as the rules on the
securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules, regulations, ethics