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 Supervisory Board No

account to trade securities for the benefit of themselves or others. {H}'s action was deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and giving

selling, transferring, leasing out or granting the rights in the infrastructure asset to the trust in the manner that may obstruct the financial advisor from independently conducting the due diligence on

sukuk to make an -5- investment or seek benefits, providing that it shall be clearly specified in what manners and under which Islamic principle the trust property shall use the money to make an

income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset management fee and

means fee and service income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset

undertaking the derivatives brokerage. 1.2 Fee and service income means fee and service income which the company has received from providing service to a client, such as investment advisor service fee

behavior that, if considered on a reasonable ground, indicates failure to honestly and fairly perform duty in providing financial services, lacks professional accountability or due care, or aids or abets or

) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for

) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing