(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to

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(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related

(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1

significance of these problems and plans to support audit firms in providing training for auditors to gain knowledge and keep abreast of changes on a continuing basis as well as assisting audit firms in

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental

. Furthermore, the SEC shared knowledge and insights on new developments related to the financial reporting preparation to promote relevant stakeholders’ up-to-date knowledge and understanding of the latest

ธุรกิจตัวกลางและผู้ลงทุน เพ่ือติดตามความเสี่ยงและการคุ้มครองผู้ลงทุน - บลจ. และ LBDU: กำหนดความเส ี ่ยง ( Inherent risk) เพ ิ ่มเต ิมสำหรับ Significant activities ที่เกี ่ยวกับการบริหารจัดการกองทุนส่วน

instrumentality of a government; or a company, corporation, partnership, trust, estate, or association. similar product. product or transaction that has inherent credit risk. rated obligation. THE IOSCO CODE OF

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the