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
ละ 50 ของทุนจดทะเบียน) ( ) นายหน้า (Broker) ( ) ผู้ค้าหลักทรัพย์ (Dealer) ( ) ผู้รับประกันการจำหน่ายหลักทรัพย์ (Underwriter) ( ) ผู้จัดจำหน่ายหลักทรัพย์ (Distributor) ( ) ที่ปรึกษาการลงทุน (Investment
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’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
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
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
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
of the independent directors under the first paragraph of sub clause (2) would not be applied to an intermediary in the category of investment advisor or derivatives advisor; (3) having appropriate
) Person in which the fund manager has held shares exceeding thirty percent of the total outstanding shares of such person (c.5) Person who is an investment advisor of the management company or the fund (c.6
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