academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor

: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

business administration, finance, accounting, economics or other academic degrees accepted by the Office. A bachelor’s degree in any field. - - 2. Work experience accepted by the Office in connection with

fund rating business which can be shown that the rules used in the mutual fund rating are based on academic principle and reflects the purpose of mutual fund rating without causing misunderstanding to

line of work relating to capital markets according to Clause 7; (3) a person to be appointed shall not be a director, executive, or employee for another company which undertakes business similar to or in

supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best

reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of

Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives