} for six months from his duty as an approved securities investment consultant, effective from May 14, 2014.
Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities investment consultant for three months, effective from June 27, 2014.
. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month
duty as the approved securities investment consultant for 2 years and 6 months. Owing that {A}'s approved securities investment consultant status only lasts until December 31, 2016, her approved status
with relevant laws and regulations. **Details of sanctions are as follows:1. Suspended {A} from his duty as the approved securities investment consultant for 3 months, effective from July 3, 2015. 2
had expired earlier, the SEC will consider an application for approval as capital market personnel after the period of nine months, starting from April 11, 2013.
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E
of securities with a high P/E ratio and those under cash balance rule have increased rapidly over the past few months, due mainly to demand of domestic investors and the number of new retail investors