indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its

in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or

precautions and protect themselves from falling victim to those fraudsters and scammers and thus reduce investment risks to a certain degree.” During the campaign week, the SEC Thailand will reach out to the

debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA

, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the

respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in

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