pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
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 category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
Contact and Category B Investor Contact. Clause 5. The applicant for approval as category A investor contact and category B investor contact shall have education and/or work experience and knowledge on
date; (1/2) 6 having knowledge, capabilities and expertise on capital market, economics or finance and banking; (2) not being or having been a bankrupt; (3) not being a political official, an appointed
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the