capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of