limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock

one of Chartered Financial Analyst (CFA) program or Certified Investment and Securities Analyst (CISA) course or other equivalent curriculums as approved by the SEC Office. Clause 5 An application for

and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management

of the Securities and Exchange Commission: (1) The securities companies licensed to undertake all securities businesses in the category of securities brokerage, securities dealing, investment advisory

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand

The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and this English

Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the

SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English