investment advisory company; “giving advice” means giving advice, whether directly or indirectly, concerning the value of securities or suitability of investing in those securities, or the purchase or sale of
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
Advisory or an Undertaking of Derivatives Business In the Category of Derivatives Investment Advisory ______________________ Whereas nowadays the giving of advice on the value or the suitability of
advisory service" means giving advice in the normal course of business to the public whether directly or indirectly concerning the value of securities or the suitability of investing in those securities or
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of
effective safeguards to reduce threats to independence to an acceptable level cannot be applied (consulting within the firm, with legal counsel or other parties). A.II Specific Policies and Procedures 1
Investment Advisors and Appointment of Investment Advisory Agents dated 14 September 2001 as amended by the Notification of Securities and Exchange Commission No. KorKhor. 20/2548 Re: Rules, Conditions and
Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to