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
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
investment advice, investment planning, analysis of investment or capital market products , investment management, management of the intermediary ’s branch office, or supervising account of clients and making
contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on
) controlling, supervising and managing business units relating to investment advice, investment planning, analysis of investment or capital market products , investment management or management of the
Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (4) provisions of investment analysis and consultation to clients shall comply with the
regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing