Advisor) ( ) ที่ปรึกษาทางการเงิน (Financial Advisor) ( ) อื่น ๆ (โปรดระบุ) 3. จำนวนสำนักงาน (รวมบริษัทในเครือข่าย) 3.1 จำนวนสำนักงานหรือบริษัทในประเทศ 3.2 จำนวนสำนักงานหรือบริษัทในต่างประเทศ 4. หลักฐานการ
) ( ) ผูรั้บประกนัการจ าหน่ายหลกัทรัพย ์(Underwriter) ( ) ผูจ้ดัจ าหน่ายหลกัทรัพย ์(Distributor) ( ) ท่ีปรึกษาการลงทุน (Investment Advisor) ( ) ท่ีปรึกษาทางการเงิน (Financial Advisor) ( ) อ่ืน ๆ (โปรดระบุ) 3. จ
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure
independent financial advisor Although under the announcement of the Capital Market Supervisory Board No. Tor Jor. 21/2008 on the criteria for connected transactions and the announcement of the Stock Exchange
of newly issued warrants and underlying shares to the public in the amount of ……………………………...units, and having…………………..……. as a financial advisor, the details of the offer for sale of newly issued
directors and executives’ acknowledgement of the duties and responsibilities to report securities holding under Section 59; (10) a letter of confirmation to perform duties of the financial advisor, if any
Institution System; (3) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund and Loan Fund; “Advisor” means any person who
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The