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
or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the objective of investment
. (Available in Thai only). (2) Financial Advisor A Financial Advisor is a professional approved by the Securities and Exchange Commission to render financial advisory services, give opinions, prepare
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes; (c) investment units of a mutual fund of which the returns calculation is made in a complicated way
The opinions of the Independent Financial Advisor on the connected transaction (For the purpose of translation only) 0 The opinions of the Independent Financial Advisor on the connected transaction
Department SCE_Eng_p.1-16 10/29/04, 1:05 AM12 13 (Executive Officers) Mrs. Tipsuda Thavaramara Director Research Department Mr. Trakarn Nopmuang Director Investment Advisor Supervision Department Ms. Duangmon
respective markets toward sustainable growth. The SEC also rendered stronger cooperat ion with the ASEAN in developing working systems of respective markets toward the same direction to streamline complicated
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when