published in the Government Gazette, Vol. 121, Special Section 11Ngor dated 18 January 2004. The Notification of the Securities and Exchange Commission No. KorKhor. 45/2549 Re: Characteristics of Advice Which
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
Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force from the day following the date of its publication in the Government Gazette except
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
) derivatives intermediary ; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13
companies; (5) derivatives intermediary ; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
) the Financial Institutions Development Fund; (j) the Government Pension Fund; (k) a provident fund; (l) a mutual fund; (m) a juristic person whose audited financial statements of the latest year record
advisory service" means giving advice in the normal course of business to the public whether directly or indirectly concerning the value of securities or the suitability of investing in those securities or
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10