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
whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by