to securities listing and trading on LiVe Exchange and provide regulatory relaxation regarding listing requirements and listed company status maintenance, giving focus on disclosure of information to
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No
Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of
re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B
giving more clarifications to the special case inquiry official, for example, if further investigation is required. Our collaboration aims to provide the inquiry official with information and assistance
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
the firm was under the process of presenting its projects, so the number of clients remained modest. Meanwhile, the revenue from TV program production fell. As a result, the Company’s profit margin