& Executive Member of fund investment committee Fund manager Investment Planner Investment Consultant /1 Other Professionals Auditor /2 Financial advisor Supervisor of financial advisor Valuation Company

financial institution or a juristic person established under Thai law with a main objective of undertaking the business of financial advisor, accounting advisor or legal counselor; (2) having a discrete work

regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and

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.

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

or an increase of 20.32 percent due to higher administrative expenses in 2019 than in the previous year. For example, legal consultant fees And financial advisor Page 5 of 5 OCEAN COMMERCE PUBLIC

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

(Translation) CS 0297/2019 August 13, 2019 Subject: Connected transaction : Renewal of a hotel management advisor agreement Attn: President The Stock Exchange of Thailand With reference to the Board

1 ผลการรับฟังความคิดเห็นจากผู้เกีย่วข้อง (hearing) หลกัการ เร่ือง การเปิดทางให้ Investment Advisor สามารถอ านวยความสะดวกในการซ้ือขายผลติภัณฑ์ในตลาดทุนได้มากขึน้ 1. การรับฟังความคิดเห็น จ ำนวน 1 คร้ัง