companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of Category A investor contact until 31 December 2011
investor contact under the Notification No. SorKhor. 44/2547 with the qualification of being executive of securities company before the effective date of this notification shall become category A investor
company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
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
such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
specified in Clause 7 and in case of (4) shall also apply as specified in Clause 23(1). Part 1 Proprietary Trading Clause 7. To protect any acts that may create conflict of interest to investor, in the case