Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution

Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor

following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g) telecommunication or information

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

to the Office within thirty days from the date on which the resolution is passed. Clause 6. In case that the Bank of Thailand revokes or cancels the approval for any auditor of the finance and

country accepted by the Office will be granted renewal of the approval if they maintain such status when the application is filed and have passed at least three hours of training courses on rules

investment manager does not cause any conflicts of interest with the management of mutual funds; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 , the SEC Office hereby issues the following regulations

passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license