Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
Former derivatives investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 5.5
. − − − 6 Former securities investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 4.5
planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation
consultant on complex products Type 1 who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 8.4 − − − Remarks: 3 Limited to one
. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for
Secretary General, the Foreign Banks’ Association. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of
principles. Good corporate governance is a critical component in any capital market. Without it, market development would be a futile effort. Yet, most investors tended to overlook this corporate virtue over