Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
) receiving proceeds transferred from provident funds (PVDs) or other RMF; (3) Other cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed
unitholders The unitholders are investors who transferred from PVD. ( 6 ) A ny other conditions as approved by the SEC and such classification is practical and for the interest of the unitholders in general
grounds to suspect that the directors, executives, and major shareholders having other interest which may be in conflict with the best interest of the business or having benefits transferred from the
having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Not being in breach of the terms and
, executives, and major shareholders having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 8. No record of breaches of