}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted
increased due to the fact that the company could offer more product variety to serve demands of both local and foreign customers which leads to higher sales quantity. Sales price also increased compared to
of ESG factors on their investments and local markets. While the quality and quantity of ESG data continue to improve, clear and uniform reporting standards remain at an early stage. We are pleased to
passes a resolution to offer to the applicant the newly issued securities and to give consent to the applicant not to make a tender offer for all securities of the business after the acquisition of such
investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission