applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
Notification of Capital Market 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
} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
. Chan failed to report the disposal of BIG shares on March 8, 2016, within the period specified in the notification of the Capital Market Supervisory Board which is in the amount of 49,724,400 shares
its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on
(English Translation) Page 1 Date : 5 February 2018 Subject : Notification of the Board of Directors’ Resolution Concerning the Plan to Spin Off its Subsidiary and to List Shares on the Stock