Investment Advice dated January 18, 2012. The SEC therefore has suspended {A} for six months. Due to his approval status which will expire by December 31, 2012, the suspension period shall therefore remain

shall have the duties as instructed by the AMLO, including: (1) set out a risk assessment policy or any guidance for the prevention of the financing of terrorism; (2) freeze the assets of the designated

subject to a month suspension by Globlex Securities Company Limited, however, the suspension period shall remain one month; 2. Imposed two-month suspension on {B}, a securities investment consultant; and3

already been suspended by his employer for one month; the suspension imposed by the SEC shall remain five months, effective from February 26, 2015.# # # #* Clause 20(2) of the Notification of Capital Market

period to accept her re-application shall remain 3 years and 9 months, effective from January 8, 2015.*Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months

his employer for 3 months, the suspension imposed by the SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

the SEC website.   Remark: * Pursuant to Section 66 of the Digital Asset Businesses Law, any person who operates digital asset businesses without a licence in accordance with Section 26 shall be liable

shall be deemed as initiating negotiations or entering into any agreements with any creditor for the purpose of debt restructuring, whether the proposal is submitted to the bondholders’ meeting for