Sustainability Report 2015

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Strengthening the potential of intermediaries’
personnel
Other professionals in the securities industry, such as
investment analysts, back-office personnel and human
resources personnel are an important mechanism in
driving and supporting the intermediary institutions
towards sustainable growth. SET has joined forces
with professional associations in the capital market to
develop training courses that enhance these personnel’s
skills and capabilities. In 2015, there was a total of 794
participants.
Moreover, the knowledge banks and other information
useful to professionals such as curriculum and licensing
exams are available online11 .
Continuously raising professional standards
SET plays a role in standard setting for and licensing of
securities professionals by developing the contents and
exam bank and managing IC tests and CISA certification
in line with global standards. In addition, two testing
centers have undergone continuous quality assessment.
In 2015 there were 69,541 persons taking the investment
consultant examinations, an increase of 50% from 2014,
reflecting that securities professional career have gained
increasing interest.
Inaddition, SETcontinues toenhance theCISAcertification
test, required for analyst and fund manager licenses, to
ensure that practitioners are qualified and able to provide
professional services. There were 2,464 persons taking
the examination in 2015.
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Quality ICs lead to quality capital market
Investment Consultants (ICs) have an important role
in providing advice and information for investors’
decision-making. Therefore, SET aims to raise the level
of ICs to become specialists in securities and derivatives,
enhancing their ability to provide quality services to
support a variety of investment products. This will
benefit the expansion of the investor base for the
capital market’s sustainable growth. SET develops
specialists according to each type of investment product
and the career roadmap of the securities industry.
Examples of such training program are IC leaders, equity
specialists, TFEX specialists and Junior IC@Brokers.
In 2015, a total of 2,705 persons participated in IC
development programs, an increase from 1,978 persons
in 2014.
SET has also expanded its role in knowledge cooperation
to Greater Mekhong subregion (GMS) countries by
producing a manual entitled “GMS Equity Investment
Consultants Licensing Standard Factbook” through
cooperation with the GMS Professional Education Working
Committee (GMS the PEWC). The manual helps develop
the expertise of the GMS securities professionals.
Increase in people who took the
Investment Consultant examinations
in 2015 compared to 2014
% 50