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
be well prepared and independent in performing duties, and put in place measures for handling conflicts of interest. The amended real estate-back ICO regulations will take effect from 1 March 2021
capital market business for sustainable, stable and efficient growth, enhancing the cooperation with organizations and entities involved with the capital market business, and performing other activities
method, as well as to increase the trustworthiness in the identification and authentication process for onboarding customers that could boost the standard of performing e-KYC in the capital market. The
manager, failed to supervise his subordinates ({B}, {C} and {E}) in performing their duties causing the aforesaid wrongdoings in violation of law on securities and exchange and relevant rules; classified as
the next two years from June 16, 2011. The order has been issued after the SEC?s finding indicated his serious audit mistake and failure to comply with the auditing standards in performing the audit of
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when
of Clause 20(3) of the aforesaid notification. The SEC therefore publicly disclosed {B}' s inappropriate behavior in performing duties as an investment consultant and will keep a demerit record for
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from