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

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

than one investment advisory companies, the investment advisory agent shall, prior to giving an advice, declare to the customer that such advise is acted on behalf of the agent of which investment

; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate

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

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

who has duties to contact, solicit, advise or prepare investment plans for investors and are divided into two categories: Category A Investor Contact and Category B Investor Contact; “Category A

complex capital market products, and [ii] supported by written materials and nformation; (4) advise on the client’s suitability for investment in or entering into transaction of risky or complex capital

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...