person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall

securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph

trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

owner, the intermediary shall provide services to the client as if such person is retail investor. When the intermediary has already categorized type of the client , the intermediary shall notify the

. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they

Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are