hearing on the proposed principles and relevant draft regulations which aim at ensuring that the ICO rules have adequate and appropriate mechanisms for protecting investors while promoting the ICO issuer’s
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
,especially the corrosive prevention part. Therefore, company would invest new research and development for appropriate products to suit Thai climate and environments. Please be informed. Yours Sincerely, Mr
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
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
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
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
Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If