undertake securities business in the category of investment advisory service under the Law on Securities and Exchange. Clause 4 This Notification shall apply to application for license and issuance of
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
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
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
Securities and Exchange Commission 3 Appendix Definitions “IT assets” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
. 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