Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2
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
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
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
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
derivatives is required , except CFP new curriculum5 ✓ ✓ 4 Investment consultant of complex products Type 1. − − − ✓ ✓ 5 Approved or registered to perform similar duties to investment analyst on technical
company. Integrated business reporting should be in a form that investors can reasonably be expected to understand. For example, complicated technical terms should be explained and care should be taken to
mutual fund whose returns calculation is made in a complicated way (complex return fund); (4) investment units of a mutual fund whose net exposure in commodities is made through its investment in commodity