securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
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, 2012. Reported by
, derivatives broker shall provide service only for institutional investor, and in such cases provisions of Clause 16 and Clause 17 shall not be applicable to the aforesaid service. In providing service as
such cases provisions of Clause 16 and Clause 17 shall not be applicable to the aforesaid service. In providing service as derivatives broker in the first paragraph, derivatives broker shall trade in
) ……......... 10. Number of companies for which the applicant has affixed signature in giving opinion on their financial statements over the past 5 years: Year of signature affixed Number of companies Affiliated
in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other
an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other licensed CPAs or of