currency as reference with fixed exchange rate. Sometimes, they falsely claimed that they were foreign companies? business alliances and needed no permission from the SEC, for instance. Anyone solicited by
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, 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
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
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