Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation
consultant on complex products Type 1 who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 8.4 − − − Remarks: 3 Limited to one
’ Association. Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor
. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for
Secretary General, the Foreign Banks’ Association. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of
association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession
Former investment consultant on general products who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 5.3 − − − 9 Former
or investment consultant by virtue of Qualifications No. 6.6 − − − Remarks: 5 Limited to one person per one securities company only. 6 Application must be submitted within 60 days as from the
Market Supervisory Board No. Tor Thor. 30/2559 Re: Rules for Operation of Derivatives Exchange By virtue of Section 55 and Section 73 of the Derivatives Act B.E. 2546 (2003), the Capital Market Supervisory