two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two calendar years prior to expiration of
) course (at least Level 1) during the past two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two
Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational
0 baht, with 5 0 % paid-up capital or 5 baht / share paid. Mr. Jutiphan Mongkolsuthree holds a computer science degree from Purdue University and has completed an MBA Exchange Program from University
on Investment Analysis on Technical Factors (5) Knowledge on Ethics of Investment Analyst 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 1 year during the
Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
Stop Query” information searching system for the SEC’s staff to conduct supervisory tasks External services ● Restructured SEC website to be more informative and user-friendly ● Facilitated online report
disclose their expertise. However, external reviewers may consider they do not have sufficient financial expertise to assess to what degree the variation in the financial characteristics of an SLB is
Exchange Commission No. SorKhor. 15/2548 Qualifications Case1 Case 2 Case 3 Case 4 1. Academic qualification from educational institution accepted by the Office. At least a master’s degree in the fields of