Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that her approved investment consultant status
analysis on industry outlook to serve as information for making investment decision.As for the personnel, TIA was encouraged to upgrade right protection volunteers in the areas of analyzing financial
significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the
unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment
Executives of securities companies and personnel in securities business Registered Person in Derivative Business Broker, Dealer, Underwriter and other securities businesses Related Organizations Digital Assets