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 for

” 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

performance of 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

contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives

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 analyze value and

as having measures for 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

กับ ผลิตภัณฑ์หรือให้ค าแนะน าทั่วไป (general advice) แก่ผู้ลงทุนเท่านั้น ส่วนการแนะน าการลงทุนแบบ specific advice อาจจะน าไปสู่การชักชวน (solicit) 4 เร่ือง ความเห็นของผู้ประกอบธุรกิจ ความเห็นของส า

securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the

operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities company undertaking securities business. Investor

Office, and arrange to 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