giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the SEC
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
contact” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
measures that are sufficient and a substitute for its non-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, consideration shall be given to the
-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, a consideration shall be given to the appropriateness and adequacy of the information to support investment
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
) “investor contact” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities companies undertaking securities business
market, and giving advice on relevant professional standards via a hotline channel. SEC Secretary-General Ruenvadee Suwanmongkol said: “For future plans, the SEC will continue to dedicate efforts to ensure