. ( - 2 the Certified Investment and Securities Analyst (CISA) Level 1, or the Chartered Financial Analyst (CFA) Level 1 Work experience in Thailand or foreign countries for a total period of not less than
, concise and reliable. [M] · Making a contract identified clearly a data confidentiality and scope of work and service level agreement. [A] 2. Service provider controlling · In case of get a service on
to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager
person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
for each staff level? If yes, how does the firm communicate them to its personnel? 8 Does the firm include quality of work perspective in its Job description and its evaluation form? 9 What criteria is
line of work relating to capital markets according to Clause 7; (3) a person to be appointed shall not be a director, executive, or employee for another company which undertakes business similar to or in
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in