title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories

Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

. Balance at the beginning of 25x0 x x x x x x X (x) x x 2. Accumulation from correction of mistakes x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between two periods 4. Appraisal surplus x x 5

approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or

term of four years and may be re-appointed but shall not hold office for more than two consecutive terms. Upon expiration of the term of office, the appointment of new Chairman and commissioners shall be

Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the

management of the service provider in the foreign country; (3) criteria for reviewing and changing a service provider; (4) guidelines for subcontracting the outsourced function by the service provider to

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office

; (b) the information for the purpose of assessing clients’ suitability for investment in or entering into transactions of capital market products shall be revised and updated at least every two years

professional standards arranged by the association or the training institute within the past two years prior to the application date. If the person has passed the course for more than two years as of the