of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as
Derivatives Act B.E. 2546 (2003) ; (b) having the qualifications and not possessing the prohibited characteristics as specified in Chapter 3; (c) having obtained an approval from the SEC Office prior to
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
prior to performing function, except for any of the following cases: 1. the intermediary is a financial institution established under other laws and licensed to undertake securities business as prescribed
minimum duties of the fund supervisor: (a) the duty to strictly check and balance the management of the fund by the management company with loyalty by applying professional knowledge for the best interest
cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or a commissioner is vacated prior to expiration of the term of office
with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates its business by maintaining corporate