Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
SEC therefore revoked the approval of {A} as capital market investment consultant and set the period for acceptance of his re-application for approval as capital market personnel for 2 years and 11
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
required if the applicant has submitted the SEC Office’s letter of acceptance for the audit firm to allow the applicant who is an affiliated auditor to apply for approval via the fast track system. 3
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance of re-application for approval as capital market personnel for