are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to

Advice dated January 18, 2012. The SEC therefore suspended {A} for one-month from her duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by

Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for one month from her duty as an approved capital market investment consultant. Taking into account that {A} had

. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market

recognized by the SEC and have been listed on the main boards of such exchanges at least for one year, they will be deemed to have been satisfied the criteria comparable to those of the SEC. The revision aims

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

imposed fines on another principal and aiders or abettors of the RICH price manipulation scheme.The action of {A}, one of the principals in the RICH price manipulation scheme, was in violation of Sections

funds into 5 classes, namely equity fund, fixed income fund, mixed fund, property fund and commodity fund where the classification will be revised every one and a half year. For newly-registered mutual

suspended {A} from her duty as the approved securities investment consultant for one month, effective from June 27, 2014.

? award for the small-sized booth.  ?Exhibition booth is one of the key channels allowing the SEC to be reachable by investors and general public as it opened a venue for exchanging views and knowledge as