intermediaries and business operators, the SEC set the mechanism to support investor protection by revising business conduct regulations to enhance responsibilities of the intermediaries in selling products and
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
investors. There are two categories of investor contacts which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or sale or an investment in
, Clause 37, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and