ordered CPAXT to further clarify related matters, for example, the Board of Directors’ opinions, the Audit Committee’s consideration for approval of the joint investment in The Happitat Project, the fair
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
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