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

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

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

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

attendance For a purpose of considering the renewal of approval for investor contacts, the Contacts and the organizer must keep the following relevant evidence: 5.1 The Contacts – the complete evidence in full

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

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

) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more

property valuer approved by the Office; (b) sensitivity analysis which has been audited by an auditor or a financial advisor approved by the Office, or any other persons approved by the Office. Such analysis