) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post
responsible for contacting, soliciting or giving advice on securities investment for client from work unit and personnel responsible for proprietary trading. Clause 7. Securities company shall separate work
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as