Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2

(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1

Corporate social responsibility (CSR) has several attributes that are inherently unobservable or measured with errors. This study proposes an alternative methodology to account for measurement errors in CSR

Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

conducting its business at a high standard of Good Corporate Governance practices, particularly regarding the rights and equitable treatment of its shareholders. It is our responsibility to enhance the

holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act

Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment

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any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange