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
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
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
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
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
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
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
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
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
ละ 50 ของทุนจดทะเบียน) ( ) นายหน้า (Broker) ( ) ผู้ค้าหลักทรัพย์ (Dealer) ( ) ผู้รับประกันการจำหน่ายหลักทรัพย์ (Underwriter) ( ) ผู้จัดจำหน่ายหลักทรัพย์ (Distributor) ( ) ที่ปรึกษาการลงทุน (Investment