to comply with professional conducts and standards. Such regulates persons are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and Principal Valuers - Credit Rating
liable to account for the ill-gotten profits. However, a fiduciary duty does not imply that the person must place their client or investors’ interests before their own. INVESTMENT ADVISOR COMPANY: WHO IS
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
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.
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
clause (2) called by other names; (4) advisor of securities company under Section 103 of the Securities and Exchange Act B.E. 2535 (1992). Clause 6 Personnel in the capital market business performing
, excluding the person under Clause 10: (1) director; (2) general manager; (3) person holding a position equivalent to the positions under sub clause (2) called by other names; (4) advisor of securities company
related penalty provisions shall apply to the register and transferability of any other securities as specified in the notification of the SEC under Section 33, mutatis mutandis. In cases where the SEC