period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
approved by the Office if such person can operate as investor contact under the laws of such countries. The person approved by or registered with the registrar pursuant to the law on life insurance to be a
Investment Analyst and Standards of Conduct dated 22 June 2004; “Marketing officer” means any person who is registered as marketing officer under the notification of the Office of the Securities and Exchange
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
incorporated into a single notification. By virtue of Section 14, Section 100, Section 109, Section 117 and Section 124 of the Securities and Exchange Act B.E. 2535 (1992), Section 126(5) of the Securities and
reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
registered auditor under the audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact Person of the authority Business Address of the authority