whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
category of investment consultant or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the
the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or
) Person in which the fund manager has held shares exceeding thirty percent of the total outstanding shares of such person (c.5) Person who is an investment advisor of the management company or the fund (c.6
public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.
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