Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
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
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
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities company undertaking securities business. Investor
the notification of the SEC. “derivatives advisor” means any person who, in the ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give
เลือกกองทุน วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือคำนวณเงินลงทุนลดหย่อนภาษี
advice in relation to the SEC rules and regulations and disclosable information for a more efficient investor rights exercising process”, said the SEC Secretary-General.The SEC has continuously supported