duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
the method and channel of communications and information concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by
subject to temporary trading suspension. In addition, the company must proceed to have new operating business to meet the SET regulations within 12 months while its business plan remains unclear
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the
Acquisition or Disposition of Securities ( 286 ) SEC_News ( 246 ) List of Approved persons / Licensees ( 228 ) Enforcement ( 205 ) Form 59-1 / 59/2 ( 152 ) Derivative Warrant Prospectus ( 100 ) Finanacial