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
Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents
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
on which the SEC Office receives complete application and supplementary documents. The Minister shall complete his consideration thereon within thirty days from the date of receiving the SEC’s
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
Healthcare Center Co.,, Ltd. - a subsidiary of the Company and Wuttisak Clinic Inter Group Co., Ltd. – an indirect subsidiary of E FOR L Aim Public Co., Ltd. had been complete; and further progress shall be
) / Father's Given Name ชื่อมารดา (ไม่ต้องระบุ นามสกุล) Mother's Given Name ข้าพเจ้าขอรับรองว่าข้อความข้างต้นเป็นจริงทุกประการ / I hereby certify that the above information is complete and true in all respects
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A