Superintendencia del Mercado de Valores Asesores de Inversión Licencias Vigentes Otorgadas may‐15 Actualizado al 15 de agosto de 2015 No. Nombre de Asesor de Inversión 1 2 3 4 5 UBS ASESORES, S.A. YORK INVESTMENT MANAGEMENT, S.A. ATHENA CAPITAL, INC. MOSSFON ASSET MANAGEMENT S.A.duic CREDIT SUISSE ASESORIA (PANAMA) S.A. o CREDIT SUISSE ADVISORS (PANAMA) INC. 6 NORFOLK INVESTMENT ADVISORS, S.A. 7 SUMMA ASSET MANAGEMENT CORP. 8 K&B FINANCIAL GROUP, INC. 9 BSI INVESTMENT ADVISORS (PANAMÁ), INC. 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 Fecha de Resolución No. Resolución 01‐ago‐01 30‐abr‐02 21‐abr‐06 26‐abr‐06 CNV‐316‐2001 CNV‐182‐02 CNV‐91‐06 CNV‐94‐06 30‐oct‐06 CNV‐254‐06 05‐jun‐07 08‐abr‐08 29‐abr‐08 CNV‐146‐07 CNV‐90‐08 CNV‐110‐08 KAPITAL INVESTMENTS MANAGERS, INC. BRB FINANZ A.G. SVB ADVISORS & COMPANY, S.A. ECOFIN ASESORES DE INVERSIÓN, S.A. INEXCO PRIVATE CLIENTS, S.A. YORK & KASSING INVESTMENTS, INC. ANDINA CAPITAL, INC. IAM ASESORES, S.A. ASESORÍA E INVERSIONES AAB, S.A. (ASINSA) BCP ADVISORS, S.A. ARENA ADVISORS ECONOMISTAS EN MERCADOS DE CAPITALES, S.A. SP CAPITAL INTERNATIONAL, S.A. FINEC ASSET MANAGEMENT, CORP. INCREMENTUM PANAMA, S.A. GRUPO GTA PANAMA, S.A. KAUFMAN INVEST & TRADE INC. MELL INVESTMENT GROUP, INC WS INVESTMENT GROUP PANAMA, S.A. OPERADORA INVICTUS, S.A. VIGILANT CAPITAL QUANTUM ADVISORS, INC TRUSTED ADVISORS, INC. GSM Partners, S.A. SQUIRE ASSET INC GAMFOS, S.A. SUNCREST SECURITIES ADVISORS, S.A. HARBOR FN CORP CHF ADVISORS LTD, S.A. EVEREST CAPITAL PARTNERS INTERNATIONAL INC. EVEREST CAPITAL PARTNERS PANAMA INC PRM CAPITAL MANAGEMENT, INC AEGIS ASSET ADVISORS, S.A. LOMBARD ODIER (PANAMA), INC UNION CAPITAL ADVISORS, S.A. 10‐oct‐05 27‐nov‐08 05‐jun‐09 15‐jul‐09 22‐ene‐10 12‐feb‐10 04‐jun‐10 17‐jun‐10 24‐ago‐10 27‐ago‐10 12‐nov‐10 30‐nov‐10 22‐dic‐10 11‐mar‐11 11‐mar‐11 11‐mar‐11 18‐mar‐11 06‐may‐11 02‐sep‐11 04‐oct‐11 13‐feb‐12 21‐may‐12 22 ‐jun‐12 28 ‐jun‐12 20 ‐ago‐12 18‐ene‐13 31‐ene‐13 15‐mar‐13 29‐jul‐13 02‐sep‐13 10‐sep‐13 10‐sep‐13 30‐oct‐13 25‐nov‐13 30‐dic‐13 03‐ene‐14 LW ASESORES DE INVERSIONES, S.A. FIVE PARTNERS FINANCIAL ADVISORS, CORP. PRINCIPIA FINANCIAL GROUP, INC PLATINIUM ASSET MANAGEMENT GROUP, INC PRIVATAM INC PRAMADEX CORPORATION PANAMA AURORA ASSET MANAGEMENT, S.A. MILENIA ASSET MANAGEMENT INTERNATIONAL, S.A. BUENA VISTA ASESOR DE INVERSIONES, S.A. GAMS CORP GREEN EAGLE CAPITAL, S.A. CAUDAL CAPITAL, S.A. BANESCO, S.A. 03‐feb‐14 10‐feb‐14 28‐mar‐14 07‐may‐14 07‐may‐14 27‐may‐14 30‐may‐14 30‐may‐14 09‐jun‐14 05‐dic‐14 10‐feb‐15 25‐mar‐15 02‐jul‐15 CNV‐251‐05 CNV‐371‐08 CNV‐170‐09 CNV‐218‐09 CNV‐24‐10 CNV‐47‐10 CNV‐213‐10 CNV‐228‐10 CNV‐317‐10 CNV‐329‐10 CNV‐471‐10 CNV‐509‐10 CNV‐547‐10 CNV‐63‐11 CNV‐65‐11 CNV‐61‐2011 CNV‐70‐2011 CNV‐147‐2011 CNV‐301‐11 CNV‐350‐11 CNV‐46‐2012 SMV‐164‐2012 SMV‐204‐2012 SMV‐216‐2012 SMV‐279‐2012 SMV‐279‐2013 SMV‐44‐2013 SMV‐106‐2013 SMV‐280‐2013 SMV‐343‐2013 SMV‐349‐2013 SMV‐350‐2013 SMV‐452‐2013 SMV‐487‐2013 SMV‐528‐2013 SMV‐06‐2014 SMV‐47‐2014 SMV‐54‐2014 SMV‐155‐2014 SMV‐217‐2014 SMV‐220‐2014 SMV‐253‐2014 SMV‐279‐2014 SMV‐280‐2014 SMV‐295‐2014 SMV‐629‐2014 SMV‐80‐2015 SMV‐165‐2015 SMV‐367‐2015
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