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

. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product

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

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

exceeding six experts appointed through nomination in accordance with Section 31/7 as commissioners, among whom there shall be at least one legal expert, one accounting expert and one financial expert. The

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an