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

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

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

). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other

agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a

hedge fund, to a foreign service provider who is legally permitted to operate investment management business for hedge funds (i.e., hedge fund manager/advisor) under the law of a foreign country wherein

) ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. 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

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities