requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or

foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and

investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced

3. Mr. Steven or Steve Entwistle.- Mr. Steven or Steve Entwistle.- as Managing Director, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice

characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business

,” giving advice on digital asset investment or quoting digital asset value, and in the case of “digital asset fund manager,” giving investment management service or making digital asset investment

re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B

Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore

suspension imposed by the SEC is deemed to have been served. _________________ Note:   Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual