) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
equivalent positions in the capital market business; (2) {A}: his status as an approved investment consultant for Complex Financial Products Type 2 is revoked and he will be barred from working
or an investment consultant for complex products (Type 1)3 − − − ✓ 2 Passed Level 3 of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination
derivatives is required , except CFP new curriculum5 ✓ ✓ 4 Investment consultant of complex products Type 1. − − − ✓ ✓ 5 Approved or registered to perform similar duties to investment analyst on technical
consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex
. • ASEAN Chartered Professional Accountant • Certified Public Accountant, Texas, U.S.A. • Certified Public Accountant • Investment Consultant Complex Product 1 • Treasury Dealer Certification Mrs. Suwannee
ACMF Pass Under ASEAN Capital Market Professional Mobility Framework. Qualifications of the Applicant for Approval as ASEAN Investment Consultant No. Relevant Knowledge Qualifications Required
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental