title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For
accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For benefits in compliance
. Clause 9. In managing a mutual fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional
fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional ethics and standards as
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
the level of trust from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its
management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk management; selection and
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