original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or
Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or
reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the
and Exchange Act B.E. 2535 (1992). Additionally, the company’s directors are required to carry out their duties with due care, responsibility, and integrity, including overseeing the company’s
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange
supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The SEC Office, accordingly, cannot undertake any responsibility for its
Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or
company. DIVISION 2 DUTY AND RESPONSIBILITY OF DIRECTOR AND EXECUTIVE SECTION 89/7 In conducting the business of the company, a director and an executive shall perform his duty with responsibility, due care
is required. 7 Manager of securities company or person with the highest responsibility in the work unit related to capital market.8 − − − 8 Fund manager. − − − Remarks: 8 Limited to one person per one
• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA