Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 7 Marketing officer regarding agricultural commodities. ✓ − ✓ 8
Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 3 Approved or registered to perform similar duties to securities investment analyst on fundamental factors by the lead
Analysis on Derivatives Related Rules on Investment Analysis 4 Approved or registered to perform similar duties to derivatives investment analyst on fundamental factors by the lead regulator in a country
Securities3 and Derivatives Related Rules on Investment Analysis 9 Former capital market investment analyst on fundamental factors who obtained an approval by virtue of any qualifications other than No. 6.7
Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN
or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an additional examination on related rules is required. 2 CFP Module 1 (fundamental financial
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation