securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in business relationships with a securities company
, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in
of the holidays during the above mentioned period. The substitution holiday(s) will be announced in due course.
Ethics of Investment Analyst 6 Former investment analyst on technical factors. 6 − Examination not required but must complete a full course or a refresher course for renewal of approval.7 Examination not
not required but must complete a derivatives knowledge course. − 4 Passed new curriculum of Certified Financial Planner (CFP).5 − ✓ − − 5 Approved or registered to perform similar duties to investment
) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − Only those having passed CFP current curriculum2 must attend a derivatives training course
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial
course prescribed by the SEC Office (if any). Clause 12 In case the SEC Office has not granted an approval to be an appraisal company in capital market or a lead appraiser, as the case may be, due to the