substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2 of the Notification of the Capital Market Supervisory
improved, in which case the Cabinet will consider substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
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
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
of voting results. Principle 6: Act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Investment Governance Policy and compliance with the policy
. Principle 6: Encourage asset managers to act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Fund’s Investment Governance Policy and implementation
insufficient. 5. Have a clear policy on exercising voting rights and disclosure of voting results. 6. Act collectively with other investors and stakeholders as appropriate. 7. Regularly disclose the Investment
due to limitation on scope of audit imposed by the company management. The auditor was thus unable to obtain sufficient appropriate audit evidence in relation to investment in Smart Traffic Co., Ltd
Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN