e-service Online Submission See canceled document Securities Underwriter Business >> Revocation of License (Section 147) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Securities Dealer Business >> Revocation of License (Section 147) Type Title Section See Document Status Notified Date Effective Date 1. Act
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business
of the said two notifications. In addition, the revocation of an approval as investment consultant is one of the prohibited characteristics of personnel in the capital market under Clause 30(5) of
The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious
serious damage to investors or the public interest. (4) Clarifying the revocation of seizure or attachment of assets of juristic persons, and authorizing other persons to conduct examinations on behalf
benefit of themselves or others. The SEC therefore imposed the following sanctions:*Revocation of {C} and {D}'s approval status as capital market investment consultant and will not consider their
securities is significantly different from the purposes of use stated in the prospectus such as a cancellation, postponement or change of future investment projects, etc.; (4) the issuer or offeror of