Institution System; (3) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund and Loan Fund; “Advisor” means any person who

Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332

) ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. O Never 4. Information of holding a position of and holding shares in other business, including the holding of position of an advisor of other securities company or securities investment company

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

sources and has a lower impact on the environment than fossil energy; (6/1)1 “ state ” means: (a) government administration; (b) government organization under the Law on Establishment of Government

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an

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

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the