mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also mean any person
made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
. “Services relating to securities business” mean serviced which are incidental to or relating to securities business and deemed to be ordinary operation of securities companies, e.g. financial
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005, it shall mean a reference to this Notification. Notified this 14th Day of October 2009
Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005, it shall mean a reference to this
Notifications to the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to ETF Mutual Fund, dated 24 August 2007 , shall mean reference to this