. Thaisri Insurance obtained the material non- public information by Mr.Natee Panichchewa, director and chief executive officer. SEC Act S.241 Settlement Committee Meeting No. 6/2016 Settlement Committee
specified under the Insurance Law. He obtained the material non- public information by virtue of his positions before such information became public on 30 October 2012. SEC Act S.241 Settlement Committee
issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non-public information by virtue of his positions before such information
control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. The act of Zipmex did not operate other than the
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
, SET HD TRI = 10 Total expense ratio (%) Through the analysis on each fund style, the closet index fund is the worst performer in long term, as well as being the most expensive fees. Closet Index Factor
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
. − − − 6 Former securities investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 4.5
expensive mutual funds that underperform), but still provides other valuable services that enable a client to achieve his or her goals. While this financial advisor may have failed from a pure alpha
year 2019 was Baht 116.44 million, decreasing by Baht 26.14 million or 18.33 % when compared to that of Baht 142.58 million in the year 2018. The total revenue comprised:- - The revenue obtained from