: Relevance Date (Newest) Date (Oldest) .. by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
Derivatives Advisor (No. 3) dated 1 December 2023: https://publish.sec.or.th/nrs/9992s.pdf; 3. The Notification of the Capital Market Supervisory Board No. Tor Thor 41/2566 Re: Provision of Services to Clients
ธรรมเนียมการยื่นแบบ filing ดังกล่าว ทั้งนี้ กำหนดระยะเวลาการมีผลใช้บังคับของแบบ filing (cooling-off period) เป็นเวลา 14 วัน โดยมีที่ปรึกษาทางการเงิน (financial advisor หรือ FA) เป็นผู้ร่วมจัดทำแบบ filing และ
analysis to provide appropriate services that are accessible and suitable for investors’ needs. SEC has also launched the Wealth Tech Project using robo advisor and/or AI for investment analysis and
the regulations in both primary and secondary markets to suit the context of SMEs and alleviate unnecessary burdens imposed on them. For example, an application for approval, a financial advisor, and
shareholders on the transaction on 25 September 2019. The independent financial advisor (IFA) was of the opinion that the shareholders should not approve the confirmation of the connected transaction because the
(exchange) นายหน้าซื้อขายสินทรัพย์ดิจิทัล (broker) ผู้ค้าสินทรัพย์ดิจิทัล (dealer) ผู้จัดการเงินทุนสินทรัพย์ดิจิทัล (private fund management) และที่ปรึกษาสินทรัพย์ดิจิทัล (investment advisor) ต้องได้รับใบ
, collectively referred to as the “Mahachai Group”, as the sponsor and lender whereby GSTEL had entered into the agreement on 17 February 2014. According to the opinion of the independent financial advisor (IFA
legal advisor, which contained certain facts that could materially affect EARTH's rights over the two mines. The SEC therefore instructed EARTH to fully disclose such information for the public's better