investment advisory service under the Law on Securities and Exchange. 3 Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the
the application date. ✓ Only an examination on derivatives is required except those having passed Level 2 or higher of CISA or CFA or CFP new curriculum.4 ✓ Except those having passed CISA Level 1 or
public limited company for operating securities business in the category of venture capital management shall file an application for approval of establishing such a limited company or public limited
business as well as investing in various projects – all of these will eventually boost up the growth of income and profit of the Company. (Translation) Enclosure 1 7 If the offering price of the shares is
eventually boost up the growth of income and profit of the Company. (Translation) Enclosure 1 8 If the offering price of the shares is less than 90 percent of the weighted average price of the Company’s shares
. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5
. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5
business. Clause 4. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC
- 10) II & HNW [1] PO [2] Approval Qualifications and approval rules - Application shall be submitted for an approval. The following qualifications will be considered: 1. Features [3] and the name