Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment

Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN

เอช คอมเพล็กซ์ รีเทิร์น 4 ห้ามขายผู้ลงทุนรายย่อย ชื่อกองทุน (อังกฤษ) : LH COMPLEX RETURN 4 FUND NOT FOR RETAIL INVESTORS บริษัทจัดการ : บริษัท หลักทรัพย์จัดการกองทุนแลนด์ แอนด์ เฮ้าส์ จำกัด วันที่

of credit risk to comply with international standards. Besides, pre-approval requirement for investment in SN will be removed.In addition, the funds investing in complex derivatives and SN will be

, SEC has required business operators which provide services exclusively through online outlets to sell only non-complex investment funds.  

use since 2003 while the market landscape and the business operation have generally become more diversified and more complex. This proposed amendment would fine-tune the governing rules and prevent

use since 2003 while the market landscape and the business operation have generally become more diversified and more complex. This proposed amendment would fine-tune the governing rules and prevent

advance. Applications for non-complex SSFs will be considered by an auto-approval scheme,” according to Ruenvadee. At the cabinet meeting on 10 March 2020, the government approved several measures

authorities to keep pace with innovations and address emerging complex challenges. This MoU also underlines SEC Thailand’s focus on strengthening relationships with leading regulatory authorities, including

as an investment consultant for complex products type 1** for a period of two years, five months and seven days, effective from 17 March 2021. However, since her approval period ends on 31 March 2021