for approval as capital market personnel for the period of two years and two months, starting from the effective date of suspension order. The SEC also disclosed his inappropriate behavior for his
) Elevate standards for the supervision of gatekeepers to prevent inappropriate conduct, and (3) Leverage technology to broaden access to financial information of small-and medium-sized listed firms
securities company for the purpose of complying with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to trading of units of foreign
securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
Notification or the guidelines specified by the securities company in compliance with this Notification, or has inappropriate behaviors in performing the duty to give investment advice and provide services
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in
inappropriate to continue its derivatives business, or has the fact that registered derivatives business operator cannot maintain their qualifications, the SEC Office has the power to revoke the registration of