. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992
. TorKhor. 4/2551 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives
-committee members, advisors, staff members, employees, or persons who work for derivatives exchanges from unlawfully seeking benefits by using the information obtained during the performance of their duties
(IFA) whose name shall be in the list of financial advisors approved by the Office of the Securities and Exchange Commission (the “SEC Office”), to render opinions to the Company’s shareholders in
Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
(65%) 0.49 (35%) Equity Fixed income Unit trust Operator %total UT PIMCO Lombard Odier State Street Global Advisors JPMorgan Asset Management BlackRock 11% 8% 8% 7% 7% Total 41% 84% 14% 1% Gov. Bond 1
%) 0.74 (58%) 0.52 (41%) Equity Fixed income Unit trust Operator %total UT PIMCO Lombard Odier JPMorgan Asset Management BlackRock State Street Global Advisors 11% 7% 7% 7% 7% Total 40% 89% 9% Gov. Bond 1