submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of
firm or equivalent; (3) being attached to only one audit firm and such audit firm shall have the characteristics as prescribed by Clause 11; (4) not possessing any prohibited characteristics as
acquisition or disposal of a property or leasehold right to a property; (2) having a value of one hundred million baht or more, or three percent or more of the net asset value of the mutual fund, whichever is
meets the following requirements: (1) being an additional acquisition or disposal of a property or leasehold right to a property; (2) having a value of one hundred million baht or more, or three percent
from being shareholders or being authorized by agreement or any other acts, particularly any person possessing any of the following characteristics: (a) Any person who has the voting rights, whether
selling ” means selling securities without possessing securities. “ ETF units ” means investment units of ETMF or units of foreign ETF . “ units of foreign ETF ” means shares of investment company or unit
without possessing securities. “ETF units” means investment units of ETMF or units of foreign ETF. “units of foreign ETF” means shares of investment company or unit trust issued by foreign ETF. 1 The law on