Investment Planner
and concrete direction for moving the whole ecosystem involving issuers, investors, disclosure of information, development of indices, capacity building, and inter-agency coordination. The forum
consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of investment. “investment planner
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
decisions of investors. The board of directors responsible for company management must expedite the process to ensure the best interests of the company and its shareholders as a whole. The SEC has therefore
an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to
making ADAM dishonestly purchased the whole ordinary shares of Kitha in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to