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
who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the following personal
order to value the asset for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal
what means; - determining a scope of duties and responsibilities of the directors and executives who are the Company's representatives in such companies with regard to controlling power or participation
client ; (4) avoids any action which causes the client to breach or fail to comply with the restrictions or duties as stipulated by any law in case the client notified [the intermediary] about such
duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories: Category A investor contact referring to investor
written contract or agreement on custody of clients’ assets , which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement
agreement on custody of clients’ assets, which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement denying or limiting the