securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.**Clause 6(1) of the Notification of Capital Market Supervisory
, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
as attached to this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such
this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such reports even
Exchange Commission) Form 133-2 Report on the Commencement Date or Temination Date of Performance of Duty as Private Fund Manager 50. Report/Form (Notification of Securities and Exchange Commission) Form
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital
violation of Clauses 20(1) and 20(5) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Capital Market Supervisory Board