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

income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset management fee and

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

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

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

providing services to customers, 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

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

Describe the organizational sustainability management policy which is in harmony with the business directions and strategies to reflect the intention and determination to drive forward the business by taking