investor. Please specify the name of the intermediary / financial advisor ……………………………………………………………………………………………………………………….. Director. Please specify the name of the listed company / issuer
investor. Please specify the name of the intermediary / financial advisor ……………………………………………………………………………………………………………………….. Director. Please specify the name of the listed company / issuer
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
Auditor /2 - - - - 1 - Financial advisor - - - - - - Supervisor of financial advisor - 1 - - - - Valuation Company - - - - - - Principal Valuer - - - - - - Grand Total 0 7 12 0 5 10 /3 In 2020, there were 2
dated 3 November 1998; (2) Notification of the Office of the Securities and Exchange Commission No. SorNor. 18/2542 Re: Rules on Protection of Conflict of Interest on Investment or Holding of Securities
/2541 Re: Rules on Affiliated Transaction dated 3 November 1998; (2) Notification of the Office of the Securities and Exchange Commission No. SorNor. 18/2542 Re: Rules on Protection of Conflict of
increase the new customer base, such as in Italy, India and Laos. In part of the only one-time cost of administrative expenses increases due to loss of write off asset, the cost of financial advisor, the
liable to account for the ill-gotten profits. However, a fiduciary duty does not imply that the person must place their client or investors’ interests before their own. INVESTMENT ADVISOR COMPANY: WHO IS
characteristics as specified; and (2) a person who is a director or a person with the controlling power of a juristic person with the duty of asset custody or protection of customers’ interest in securities
and procedure as stipulated by the Notification of the SEC Office. An application submitting under Paragraph 1 shall be jointly prepared by a financial advisor whose name appears on the SEC Office’s