Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
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Securities and Exchange Commission No. SorKhor. 44/2547 Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004. Clause 3. In this Notification: “Investor Contact” means any person
person who obtained license under the first paragraph shall return the certificate of previous license to and obtain a new certificate of license under this Notification from the SEC Office. In this regard
this Notification. A person who obtained license under the first paragraph shall comply with the conditions as specified in this Notification and shall provide service of precious metal derivatives
Market Supervisory Board hereby issues the following regulations: Clause 1. In this Notification: The terms “institutional investor” and “high net worth investor” shall have the same meaning with such
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual