Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries whereby holding oneself out as providing derivatives advisory services on behalf of persons who undertake
derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries whereby holding oneself out as providing derivatives advisory services on behalf of persons who undertake
obstruction for justice such as providing relevant facts or evidence, concealing or destroying relevant evidence, or giving false information; (6) complexity of actions or means such as using the names of other
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
control system in respect of giving advice, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2)5 providing a compliance
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for