Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with
7.1 1.3. Dealers 35.7 1.6 35.1 1.6 (0.6) (1.7) 1.4. Online 16.5 0.7 43.0 1.9 26.5 160.2 Total Revenue from Domestic Sales 2,161.1 95.3 2,184.2 96.9 23.1 1.1% 2. Overseas sales 2.1. Franchise and Dealers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
Business for Licensed Derivatives Dealers dated 1 June 2010; (30) The Notification of the Capital Market Supervisory Board No. Tor Thor. 25/2554 Re: Rules on Undertaking of Derivatives Business for Licensed
more than 100 distributors and dealers in their network. In addition, Flexiglass also owned 5 corporate stores. The investment mentioned above shall enhance the distribution channel for Aeroklas and
Lounge total 12 locations to facilitate gold card and platinum card members, 472 ATMs, and over 17,700 member dealers to provide quality financial services to AEON cardholders. 2 Operating Results
cards), net increasing by 250,000 cards from February 28, 2017. Covering networks nationwide, the Company has 106 branches, 473 ATMs, and over 17,600 member dealers to provide quality financial services
, 471 ATMs, and over 17,500 member dealers to provide quality financial services to AEON cardholders. Operating Results Revenues In the first half of fiscal year 2017, the total consolidated revenues were
28, 2017. Covering networks nationwide, the Company has 110 branches, 468 ATMs, and over 17,500 member dealers to provide quality financial services to AEON cardholders. Operating Results Revenues In