Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in securities investment, risk management relating to securities investment or securities
Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in securities investment, risk management relating
qualifications and work experiences: (a) having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations
Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in
Honorable Mention of the 9th NACC Integrity Awards 2019” For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at Tel: 0-2263-6246 or email: sireetho@sec.or.th
requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at
. Arbitration (to be referred to other agencies); 7. Responses to inquiries (to be referred to other agencies); 8. Contracts (to be referred to other agencies). ✓ ✓ ✓ ✓ ✓ 1. Website for the Capital Market
laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures concerning reporting of suspicious transactions, which would
with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures