Page 40 - SET SD 2563 - EN

About This Report Messages from
& Contents the Chairman & President
About SET and Sustainable Sustainability Performance
SET Development Sustainability Management Market Growth
Developing the Quality of Investment Professionals
In 2020, SET and the Association of Thai Securities Companies (ASCO) determined that the development direction for securities professionals would focus on preparedness and adaptation through times of intense competition and change. Key performances in this area were as follows:
Enhancing the Standards of Investment Professionals
Certified Investment and Securities Analyst Program (CISA) Standards
SET is responsible for overseeing the knowledge standards and examinations of the Investment Consultant Curriculum and the Certified Investment and Securities Analyst (CISA)1 Curriculum, where SET regularly develops and reviews the quality of these examinations to optimize learning assessment outcomes.
Additionally, SET evaluates the safety of examinations and maintains exam systems to ensure that they are ready for use by conducting random inspections of examination and training standards at two testing centers, for a total of 14 times. SET further oversees and enacts safety guidelines for exam takers and staff in accordance with government measures, including by cancelling examinations during declared states of emergencies and providing mitigation measures for test takers affected by exam postponements or suspensions. In 2020, a total of 21,153 people took the Investment Consultant examination and 975 people took the CISA examination across all three levels.
1 CISA are qualifications for registering securities analysts and fund managers
Standardizing License Renewal (Refresher Course) for Investment Consultants
SET determines the curriculum standards for the License Renewal Refresher Course for investment consultants, investment planners, and investment analysts. In 2020, three new training institutes were registered, and SET approved 250 license renewal training courses. SET further conducted random audits of 11 licensed training institutes, totaling 16 times, to evaluate their performance standards. In addition, SET developed standards and systems including:
• An e-Learning course in collaboration with the Chartered Institute for Securities & Investment (CISI), a division of the London Stock Exchange, to support foreign professional practitioners. Training will commence from January 2021 onwards.
• The Professional Link Platform (Prof. Link) Application, launched in October 2020, to facilitate training courses and the renewal of professional licenses. By the end of 2020, users downloaded the Prof. Link application 10,644 times, and 71 license renewal training institutes and intermediary agencies were registered in the system.
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Sustainability Report 2020