intermediary during the same suspension period. The SEC's inspection of these cases was proceeded with KBANK's cooperation. Since the incidents, KBANK has specified that only approved investment consultants are
. Besides, investors were prone to searching for yields while securities companies and commercial banks acting as an intermediary for offering of such debt securities provided insufficient information for
the Notification of the Capital Market Supervisory Board No. Tor Lor Thor 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012
Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 4. Notification of Capital Market Supervisory Board
and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business
Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 7. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of
Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management
Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
: Contact person: Email: Name of local representative: Contact person: Email: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact