complements, but does not alter, the terms and conditions of existing arrangements between the Authorities such as the IOSCO MMoU. To the extent any provision of this MoU conflicts with the IOSCO MMoU in
violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall be in accordance with the rules specified in
SEC Office shall have the duty to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
Exchange, over-the-counter centre, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the
debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA
. − − − 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
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
year 2019 was Baht 116.44 million, decreasing by Baht 26.14 million or 18.33 % when compared to that of Baht 142.58 million in the year 2018. The total revenue comprised:- - The revenue obtained from