Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors
Management • A pproved Personnel ○ Major Shareholders • SEC Act • Derivatives Act ○ Executives • SEC Act • Derivatives Act ○ Fund Manager • SEC Act • Derivatives Act ○ Property Fund
ธุรกิจหลักทรัพย์ ตัวแทนสัญญาซื้อขายล่วงหน้าที่จำกัดเฉพาะสัญญาซื้อขายล่วงหน้าที่เกี่ยวกับโลหะมีค่า บุคลากรที่เกี่ยวข้อง (Approved Personnel) ผู้ถือหุ้นรายใหญ่ (Major Shareholders) พรบ. หลักทรัพย์ ฯ พรบ
Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund
: Detail Content Investment Consultant/ Investment Planner Related Rules and Regulations The Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the
& Underwriter • Securities Borrowing & Lending • Thailand Securities Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2