. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies
judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
following prohibited characteristics: (1) being an incompetent or quasi-incompetent person; (2) being or having been a bankrupt; (3) having been imprisoned by the judgment of a court which is final
investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the
passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license
professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration