providing services to a client, an intermediary shall proceed as follows: (1) supervise the personnel to provide portfolio advisory or investment strategy of program trading in consistent with the assessment
) supervise the personnel to provide portfolio advisory or investment strategy of program trading in consistent with the assessment result of the client’s risk profile and investment objective within the scope
, or personnel of the REIT manager; (3) major shareholder of the REIT manager; (4) juristic person in which the major shareholder is also the major shareholder of the REIT manager. “authorized management
were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the
made by clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Napat from his duty as the approved
behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved
Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
account, and using the client?s securities trading account for his own benefits were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the