Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2
Asian economies are using the OECD Principles of Corporate Governance and outputs of the Asian Roundtable as references in the development of their regulations, corporate governance codes, listing rules
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN
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
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
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Securities and Exchange Commission No. Sor Thor. 29/2559 Re: Rules in Detail on Financial Resource and Risk Management of Securities Clearing Houses ________________________ By virtue of Clause 5 (1), in