Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
Phuvanatnaranubala) Secretary-General Enclosure: The Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision
Phuvanatnaranubala) Secretary-General Enclosure: The Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision
equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
operation, supervision of derivatives operation, or research on derivatives, or other similar lines of work regardless of the fact that such function provides services for other persons or for the benefit of
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
holding or resuming the position of director, manager, person with the managerial power, or advisor to a financial institution on the ground of having prohibited characteristics under the Law on Supervision
under Thai or foreign law related to supervision of financial institutions, and the barring period from serving as director, manager, person with managerial authority or advisor of financial institution
: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
official hours required under the condition of continuing development of accounting knowledge. Supporting Accounting Profession to be in line with International Standards Auditor Supervision Monitoring on