transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
undertake any responsibility for its accuracy, nor be held liable for any loss or damage arising from or related to its use. PAGE 2 Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re
which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and
has the duty to maintain the capital under the Notification concerning Maintenance of Capital. “Notification concerning Maintenance of Capital” means the Notification of the Securities and Exchange
reference. Notification of the Securities and Exchange Commission No. Kor Yor. 51/2547 Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of
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 Office of the Securities and
the duty to deliver via the Investment Management Reporting System or Private Fund Provident Fund Reporting System as specified by the notification of the Office of the Securities and Exchange
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange