Transactions in the Capital Market B.E. 2550 (No.2) dated 21 February, 2011. 7 Clause 16. An order imposing administrative order shall contain supporting reasons, providing that the reasons shall at least
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. Additionally, a Financial Advisor plays an important role in promoting good governance of listed companies by giving advice and laying out a framework or guidelines for good governance practices for listed and
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
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
______________________ Clause 13. In contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall
approval of the offer for sale of the portion of bonds that has not yet been offered for sale or not yet been subscribed for; In giving an order under Paragraph 1, the SEC Office shall take the following