No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14

of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch

., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

public announcement of a business takeover but failing to meet certain pre-conditions for making a tender offer for securities of such business because of uncontrollable external factors will be exempted

intermediary only; (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until

intermediary only; 4 (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until

intermediary only; 4 (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until