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
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
acknowledge the occurrence of emergency incidents, the impacts happened, the communication channels for customers of relevant persons to contact for using services or to communicate with companies throughout a
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
: ............................................(authorized person) for and on behalf of ................................... Contact person: .................................................... Phone: ......................... E-mail
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily