as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
companies? operations with increased transparency and prudence. The revision is in line with current international standards, which increasingly take into account these issues. Comments and suggestions on the
financial advisor to provide investors, in advance, with complete information and thus enable their prudence decision-making. The SEC therefore notified ADAM board of directors to provide clarification on the
after the criminal complaint has been filed. The public and investors should exercise caution when using services from unlicensed digital asset businesses as they will not be protected under the
Srimachand, SEC Deputy Secretary-General, said: “The SEC urges the event organizer to exercise caution when allowing unlicensed business operators to set up booths at the event, including platform service
investment decision carefully. For example, Notice Pending (NP) in case of awaiting material information, or Caution (C) in case a listed company has the characteristics as prescribed in the governing