Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the Thai capital
) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − Only those having passed CFP current curriculum2 must attend a derivatives training course
past 3 years prior to the application date 3 or ✓ ✓ ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the
years during the past 5 years prior to the application date. ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or
Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to the
and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − 3 Passed the
(CISA) or Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of