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

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

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

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

according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each

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

/Khet…… Province ………… Postcode ……….. Telephone number …………...... Name of householder …………………… Relationship ……….…… 3. Information on level of education and working experience: 3.1 Highest level of

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

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in