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

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

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

brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

specialist audits or audit clients in a specialist industry (e.g. financial institution) obtain/maintain the required specialist knowledge Do the firm have special training/or tailor made for specific client

) Specify the highest educational degree, major and minor subjects, faculty and educational institution, including the training record regarding directorial roles, duties and skills (such as the Thai

procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and core

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

business operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a