(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
investment units, debt securities, equities, derivatives and provident funds. Instead of doing the suitability test prior to every investment in new products, investors can do one set of the test for
as from the end of the accounting period. In case of submitting the review of 4 th quarterly financial statements prior to submitting audited annual financial statements - The
Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 2)
Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 3)
consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
Dissemination of Information relating to Offer for Sale of Units of Real Estate Investment Trust prior to the Effective Date of a Registration Statement and Draft Prospectus
สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน