and a private fund manager, had collusively planned and conducted, with divided assignments, the manipulation of price or trading volume of TIGER shares, with the assistance of Shanya, Investment
Characteristics of Personnel in Capital Market Industry dated September 15, 2010. The SEC therefore revoked approval for their present status as investment consultant. Information contained in this news release
provident funds; (2) Asset owners such as the Government Pension Fund, the Social Security Office and insurance companies; (3) Related service providers such as fund supervisor, custodian and investment
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
normal market conditions. The offenders (13) and (14), in their capacity as investment consultant, rendered assistance with the execution of the trading orders, which occurred in three different time
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or
exchange 4 , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or investment analyst, as the