TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 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 Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

be done by professionals and based on recognized academic principles. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be

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

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

/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest

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

Exchange Commission No. SorKhor. 15/2548 Qualifications Case1 Case 2 Case 3 Case 4 1. Academic qualification from educational institution accepted by the Office. At least a master’s degree in the fields of

transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there

least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and

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