Securities and Exchange Commission’s regulations; ii) not be a person who violates any rules, regulations, notifications, orders, board resolutions, listing agreements with the SET, as well as the required SET
adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst
equivalent to 15 percent or higher, but lower than 50 percent in accordance with the Notifications on Acquisition or Disposal. As a result, the Company is required to disclose an information memorandum on the
risk management. We are using it here because we hope that our proposed measure will become well known, like alpha and beta; however with a specific new meaning within the context of wealth management
of Assets. The transaction value is equal or more than 15 percent but less than 50 percent. Consequently, the Company is required to immediately disclose the information memorandum on the entering into
to the clients. For a pooled fund, the AMC would be required to disclose the PVD factsheet to the public and the PVD members, as well as submit it to the SEC within five working days after the new PVD
the PVD members as well as submit it to the SEC at least one business day before offering the new investment policy to the PVD fund committee. In case of establishing a new PVD, AMC is required
the PVD members as well as submit it to the SEC at least one business day before offering the new investment policy to the PVD fund committee. In case of establishing a new PVD, AMC is required