Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(3) of the

Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market

affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for sale of newly issued securities; (2) an issuing company having the duty to prepare

the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the

arrangement, except for the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the

the arrangement, except for the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set