likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and