interested persons in general before considering investing in digital assets.”In addition, SEC also publicized the “Three Risky Rides” video clip to educate and warn the public in an easily understandable
).Moreover, SEC is considering allowing asset management companies to organize meetings via electronic platforms, provided that there is a proper control system to ensure IT security for online meetings
funds could use voluntarily when considering the risks and opportunities that accompany climate change and the financial impacts on the investee companies. The Guidelines also include how asset managers
executives of listed companies are required to perform fiduciary duties by considering the matter responsibly, cautiously and honestly for the best interest of the companies. In case of digital asset
consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been
consultant. Considering that {A} had already been suspended by OSK Securities for one month, however, the suspension imposed by the SEC shall remain two months, effective from June 10, 2014.In case of {B} and
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
offer GSSB** CD (PP-SME) ***, amending information disclosure rules before and after the offering to enhance clarity while considering the appropriate level of burden of offering via private placement
December 26, 2012. Earlier, the SEC found that the auditor did not express opinion on such financial statements considering the company’s 2010 financial statements not in compliance with the generally
statements. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed companies’ performance, the SEC did not grant