relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
Capital Market Supervisory Board No. To r Lor Thor. 11/2559 Re: Rules on Personnel in the Capital Market Business (No.4) dated 27 April 2016 (effective on 16 Mary 2016). 4 “investment consultant”9 means a
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________
could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product