addition, the SEC revoked his status as an approved capital market investment consultant for using client securities trading account to trade securities for himself; as well as will not consider his
of which a client may make a short sale in a margin account, at any time, including a brokerage fee; 5“capital fund” means the total value of: (1) shareholders’ equity according to the Financial Status
this sale of shares in NINE, NINE will no longer have a status of an associated company of the Company. The said transaction is considered as a disposal of assets in accordance with the Notification of
will no longer have a status of an associated company of the Company. The said transaction is considered as a disposal of assets in accordance with the Notification of Capital Market Supervisory Board No
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or
Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client; (b) is inconsistency or inappropriateness with conditions of such intermediary’s business; (c) is