distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
and Managing Director, said that the Stock Exchange of Thailand (SET) is intend to develop the “Digital Gateway” to complete the digital capital market covering from opening new accounts, providing
obtain sufficient audit evidence to conclude whether the investment in the associated company and its share of profit or loss were fairly stated in the consolidated financial statements. Accordingly
not required but must complete a derivatives knowledge course. − 4 Passed new curriculum of Certified Financial Planner (CFP).5 − ✓ − − 5 Approved or registered to perform similar duties to investment
Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents
Ethics of Investment Analyst 6 Former investment analyst on technical factors. 6 − Examination not required but must complete a full course or a refresher course for renewal of approval.7 Examination not
on which the SEC Office receives complete application and supplementary documents. The Minister shall complete his consideration thereon within thirty days from the date of receiving the SEC’s
. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the
fund manager. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2