” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office
offeror of such outbound product : (1) organizing a roadshow for the general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to invest
the offeror of such outbound product : (1) organizing a roadshow for general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to
that the management company is going to use the online branch as a channel to provide information on selling of investment units or to provide investment advice or to solicit customers with private fund
persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are divided into two categories: Category A Investor Contact who is authorized to
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