assessment, suitability test and checklists for explanation of the structured notes features and information. {A} admitted that he did not contact the client and not give any investment advice.Signing the
fair value of the mining property rights over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal ownership of those mining property rights and
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − Only those having passed CFP current curriculum2 must attend a derivatives training course
assumptions used in calculating the fair value of the mining property rights over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal ownership of those
past 3 years prior to the application date 3 or ✓ ✓ ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the
years during the past 5 years prior to the application date. ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or
Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to the
and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − 3 Passed the