academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 1 . An executive of any

of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an academic expert

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. 2  Institutional investor. Please specify the name of the intermediary / financial

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. phanchul Typewriter [Input date] phanchul Typewriter [Fill in ALL latest applicant's

market by increasing the number of auditors in the capital market and enhance the audit personnel?s capability in response to changes of professional standards and more complex transactions. Under this

. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However

PowerPoint Presentation eastspring.com.sg Stuart Wilson • June 2022 UK PACT THAILAND CAPITAL MARKETS WORKSHOP STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY. KEY TAKEAWAYS 2 1

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing