[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
member upon termination of membership (1) Examination of information for payment (a) Having adequate and correct information for the payment as prescribed in the fund’s article and for items which require
trading date and during the first two years the safekeeping shall be retrievable immediately upon the SEC Office’s request for viewing or examination. Division 1 Determination of Portfolio Advisory or
regulations: Clause 1. The Notification of the Securities and Exchange Commission No. SorNor. 21/2543 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents dated 5 June 2000 shall
application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from
Procedures for the1 Establishment and Management of Mutual Funds dated 16 December 1998 and Section 109 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security