suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
characteristics”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment units of a mutual fund offered for sale to institutional or
of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics
director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent
instruments* contain no complex features. For example, the issuer is allowed to postpone or cancel interest payments or other compensations or to establish write-off criteria, etc. NC bonds are not considered
features. Disclosure rules: 1) To revise the disclosure of the fundraising purposes and the reporting of the proceeds usage by including more comprehensive types of fund utilization purposes