SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e