Approval of Financial Advisors and their Scope of Work (No. 2) B.E. 2551 (2008) dated 29 September 2008. Clause 3 In this Notification: (1) “financial advisor” means a financial advisor according to Clause 4
Auditor /2 - - - - 1 - Financial advisor - - - - - - Supervisor of financial advisor - 1 - - - - Valuation Company - - - - - - Principal Valuer - - - - - - Grand Total 0 7 12 0 5 10 /3 In 2020, there were 2
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
1 - Translation – Bor.Chor.Ngor 0328/2017 September 26, 2017 Subject: Connected transaction : Renewal of a hotel management advisor agreement Attn : President The Stock Exchange of Thailand With
public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.
the SEC Office. The submission of the application under Paragraph 1 shall be jointly prepared by a financial advisor whose name appears on the approved list of the SEC Office. Clause 171 The applicant
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “major shareholder” means a
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “major shareholder” means a
holding or resuming the position of director, manager, person with the managerial power, or advisor to a financial institution on the ground of having prohibited characteristics under the Law on Supervision
the trust instrument; “registration statement” means the registration statement of an offer for sale of securities in the category of unit; “financial advisor” means a financial adviser whose name