supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
materially affect investors’ investment decision such as 1. serious damages 2. changing in issuer’s objects or the nature of business 3. events of default 4. entering into an agreement entrusting other persons
securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4, Clause 5, Clause 6
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Investment Advisory >> ลักษณะที่ไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศ
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the