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
is the actual owner of the account or is the person who is authorized in written from the owner of the account. Clause 24. Derivatives broker shall prepare the account of derivatives trading for each
written from the owner of the account. Clause 24. Derivatives broker shall prepare the account of derivatives trading for each customer as well as maintain it up-to-date. In this regard, the list of
written from the owner of the account. Clause 24. Derivatives broker shall prepare the account of derivatives trading for each customer as well as maintain it up-to-date. In this regard, the list of
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
is the rightful account owner or a person who has been authorized by the rightful account owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading
owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading transactions of each client. In this regard, the records of derivatives trading transactions
owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading transactions of each client. In this regard, the records of derivatives trading transactions