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

law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual fund

Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the

, revaluation surplus (deficit) in investment, it shall separate surplus (deficit) categories of each its categories. Financial statement of the sole company (Unit:Baht) Ordinary share Stocks right and warrants/1

person; (h) Unitholders which hold investment units exceed 10 percent of total investment units sold of mutual fund, in case of management of mutual fund; (i) Advisor; (j) Other fund which management

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

ละ 50 ของทุนจดทะเบียน) ( ) นายหน้า (Broker) ( ) ผู้ค้าหลักทรัพย์ (Dealer) ( ) ผู้รับประกันการจำหน่ายหลักทรัพย์ (Underwriter) ( ) ผู้จัดจำหน่ายหลักทรัพย์ (Distributor) ( ) ที่ปรึกษาการลงทุน (Investment

, investment status and the approximate spending amount. In case of acquiring assets or investment in a business unrelated to the current one, clarify the reason(s) and the background of such asset acquisition

hedge fund, to a foreign service provider who is legally permitted to operate investment management business for hedge funds (i.e., hedge fund manager/advisor) under the law of a foreign country wherein

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