balance between facilitating business operations and fund raising and providing appropriate level of investor protection without imposing undue restrictions on their investment choices.?
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
2003. (Translation) -3- Clause 2.3 In providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual
transaction is not classified as acquisition and disposition of assets since the size is lower than 15%; the Meeting can approve and proceed this transaction. However, this transaction will be presented in the
higher gross profit margin than 2 existing businesses. Consequently, overall gross profit margin profit has increased. Operating results classified by business are as follows: Management service Revenue
Transaction is classified as a Class 5 Connected Transaction, i.e., an offer of financial assistance, pursuant to the Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 Re: Rules on
clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by
occupation or business is classified by anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or
client whose occupation or business is classified by anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money