suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
period of the last year. KEY HIGHLIGHTS • Total revenue increased by 10.3%, mainly from increase in revenue from sale of investment properties and increase in revenue from rental and services together with
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
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of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics
director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent