: 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
. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors Qualifications of Applicants for
. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors Qualifications of Applicants for
The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market
Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act • Derivative Act о Investment Analysts / Consultants • ASEAN
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
approval of offer for sale of units of the trust within five years before submitting the application Obtaining approval from the SEC, thereby in readiness of work systems and personnel capacity to
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the personnel the wealth advisory function
from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the personnel the wealth advisory function