objective of each client . “ investment analyst ” means a person providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading
operation plan, investment plan, an amount of proceeds received from the capital increase, necessity and other suitability as deemed appropriate by the Board of Directors with taking the benefits of the
-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, a consideration shall be given to the appropriateness and adequacy of the information to support investment
providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading or investing in capital market product whether or not the analysis
the appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the
appropriateness of the existing one), the companies should provide the explanations and solutions from such findings. 1 COSO is a joint committee of 5 professional associations including the American Institute of
important for the shareholders’ decision making is as follows: 1. Details of the offering, determination and appropriateness of the offering price and determination of the market price 1.1. Details of the
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3
shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3 (12) clients’ asset An