. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of
prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving
advisory service" means giving advice in the normal course of business to the public whether directly or indirectly concerning the value of securities or the suitability of investing in those securities or
giving for the elderly and convalescence), jointly setting up a new company, namely, Siri Arun Wellness Co., Ltd. Details of subsidiary: Name : Siri Arun Wellness Co., Ltd. Registration Date : Within
}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
without fully explaining the fund's features nor giving the fund fact sheet to the client for self-study. The client misunderstood that the trigger fund was a fix-income fund similar to the product of the
Results of Foreign Companies stipulate that the auditors who affix their signature in giving opinions on the auditing of financial statements of foreign companies as prescribed by such provisions or