in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
Tennessee State University, U.S.A. Bachelor of Accounting, Chulalongkorn University Current Positions Member of University Council of Chulalongkorn University Experiences Senior Advisor and Chairman of
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and
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
) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 In cases where the securities intermediary in the category of investment consultant
intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty
in the Information Memorandum of Connected Transaction of We Retail Public Company Limited attached to this letter. Moreover, the Board of Directors Meeting of the Company had resolved to assign Mr