October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
ธุรกิจ มีดังนี้ (เรียงตามล าดับของการให้บริการที่เข้ามามี บทบาทในการบริหารจัดการทรัพย์สินของลูกค้าจากระดับน้อยไปถึงมาก ตาม ถึง ) Advice / portfolio advisory : การให้บริการให้ค าแนะน าการลงทุนใน
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
analysis” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment related
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the