. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for

SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course.    In this regard, the institutional clients

Project remains exposed to legal risk if the ongoing construction is considered as building modification. As such, the Project building could be suspended and/or might be demolished.  In this regard, the

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

suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client

compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns

amended for effective supervision on innovative products and transactions. Supervisory efficiency with regard to issuance quality, information disclosure, and sales of investment products will also be

funds through the capital market. In this regard, the SEC and its project co-sponsors from both the public and private sectors would like to invite business operators across the country to submit

Investment Advice dated January 18, 2012. In this regard, the SEC imposed administrative sanctions, by taking into account their employer's disciplinary actions as follows:(1) suspended {A} for two years. As

regulator to be able to manage exposed risks promptly.  In this regard, the SEC will draft a set of common rules to accommodate the offering of new financial products to correspond with market needs and