period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
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
and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the
/Khet…… Province ………… Postcode ……….. Telephone number …………...... Name of householder …………………… Relationship ……….…… 3. Information on level of education and working experience: 3.1 Highest level of
For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
customer complaint in the following manners: (1) considering and solving the customer complaint rapidly according to the procedures and means as prescribed in Clause 2(2); (2) notifying the results to the
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team
Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018, hereby issues guidelines for considering to recognize the supervisory measures on investment management of
person: Email: Warnings: An investor considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If