: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the
have been disclosed, in materiality, in the Filing Form, in violation of Section 278 of the SEA. This offense of ETL at the time was a result of orders or omissions of duties of nine persons who were
information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is
as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the