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
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
. 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
management committee, an investment committee or an operational oversight committee, etc, or advisors of such committees. 2 (4) “departmental director” means a person who is in charge of internal affairs of a
จ า รณาของฝ่ายพฒันากฎเกณฑเ์ม่ือวนัท่ี .......................................... Notification of the Capital Market Supervisory Board No. Tor Thor. 34/2556 Re: Repeal of the Notifications related to
& business plan • Use of ICO proceeds • Key milestones • Type / legal structure of entity running the project • Team members / advisors • Financial information / track records (if available) • Key risks
Concerning Acquisition or Disposal of Assets B.E. 2547 (“Acquisition and Disposal Notifications”). In addition, the Transaction is also deemed as a connected transaction pursuant to the Notification of the
2009; (5) Clause 7 of the Capital Market Supervisory Board No. TorKhor. 68/2552 Re: Rules, Conditions, and Procedures for Investment Advisors and Appointment of Investment Advisory Agents dated 3 August