whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or
the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or
) “securities business license in the category of investment advisory service” means a license to undertake securities business in the category of investment advisory service under the law governing securities
the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business ; (16) “ securities business license in the category of investment advisory service ” means a license to
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
category of investment consultant or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No