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
. − ✓ 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
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
bills, a statement of 'Intended to be negotiable among institutional investors' shall be included on the front of the bills. - Applicable to the offering of bonds [1] . - Application shall be submitted
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
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
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