derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid
title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements; (15) any other
Security Fund; (13) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
the notification of the SEC. “derivatives advisor” means any person who, in the ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
to have personnel responsible for soliciting, or giving advice related to derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of