New clients of com- pany? Name of EQCR Name of manager Quarterly and yearly work hour(s) Total EP EQCR 1. 2. 3.

disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit

disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit

Financial Analyst (CFA) Level 2, the Certified Financial Planner (CFP), or the Financial Risk Manager (FRM) Work experience in Thailand or foreign countries for a total period of not less than 1 year during a

, deputy manager, assistant manager, department director, branch manager and any person holding equivalent position called otherwise shall work full time for the securities company, unless being granted an

case the applicant is the Manager of the management company or any person holding equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets

of director, derivatives investment manager, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the line of work

professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an