(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst
capital market. The Securities and Exchange Commission (“SEC") adopts various aspects of approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange
company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million https://publish.sec.or.th/nrs/7453pe.doc Readers should be aware that only the original
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5
the state of lacking sense of responsibility and self-control as a result of physical or mental sickness, the offeror shall not be required to have such person affix signature in the registration