not Debt Instruments (Codified as of 25/10/2006) (Synopsis) 26/09/2000 01/01/2001 3. Notification of Capital Market Supervisory Board TorThor 70/2552 Rules, Conditions and Procedures for Securities
. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10/2006) (Synopsis) 26/09/2000 01/01/2001 2
/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10/2006) (Synopsis) 26/09/2000 01/01/2001 2. Notification of
percent compared to the third quarter of the previous year, mainly from a decrease in interest income on margin loans. 1.4 Gains and return on financial instruments The Company’s gains and return on
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and
plan with proper instruments; (4) monitoring and adjusting investment proportion in according to acceptable risks and investment targets; and (5) reporting the overall investment of customers. If
financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible