advices relating to securities investment to investor or the client of securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact

derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this