Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The founding securities companies shall submit an application for the
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The founding securities companies shall submit an application for the
01/01/2004 7. Notification of the Securities and Exchange Commission 37/2543 18/09/2000 28/09/2000 Report/Form (Notification of Securities and Exchange Commission) Form 90-12 Application for an
01/01/2004 7. Notification of the Securities and Exchange Commission 37/2543 18/09/2000 28/09/2000 Report/Form (Notification of Securities and Exchange Commission) Form 90-12 Application for an
past 3 years prior to the application date 3 or ✓ ✓ ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the
. − ✓ Except those having passed CISA Level 3. − − Remark 1 The eligible courses must meet any of the following conditions and have been passed for not more than 2 years as of the application date: 1.1 organized
(output) นอกจากนี้ ในกรณีที่มีการจัดเก็บ ข้อมูลเดียวกันไว้หลายที่ (distributed database) หรือมีการจัดเก็บชุดข้อมูลที่มีความสัมพันธ์กัน ต้องมีการควบคุมให้ข้อมูลมีความถูกต้องครบถ้วนตรงกัน [M] · ควรมีมาตรการ
have been passed for not more than 2 years as of the application date: 1.1 organized or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an
consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an approval is refused, the applicant shall also be notified of the
issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an