licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license
after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious
obtained securities business license after acquiring a status as financial institution; (6)1 a person who obtains derivatives business license in the category of derivatives brokerage limited to precious
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA
. − − − 6 Former securities investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 4.5
year 2019 was Baht 116.44 million, decreasing by Baht 26.14 million or 18.33 % when compared to that of Baht 142.58 million in the year 2018. The total revenue comprised:- - The revenue obtained from