………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
who has duties to contact, solicit, advise or prepare investment plans for investors and are divided into two categories: Category A Investor Contact and Category B Investor Contact; “Category A
investment consultant ” means a person giving general consultation to investors related to any of the following capital market products without solicitation for investment, who performs duties as an investment
any of the following capital market products without solicitation for investment, who performs duties as an investment consultant under a signatory member of the Memorandum of Understanding on the ACMF
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office
will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to
, executives and secretaries, as well as the gatekeepers, for example, auditors and financial advisors, enabling them all to perform their duties accurately and in the best interest of listed companies