Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the
parties to foster smooth transition by taking into account three key aspects: (1) goods and agricultural futures exchange, (2) business operators, and (3) human resources.(1) On goods and agricultural
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
progress in evaluating PVD performance. It also encourages institutional investors, PVDs included, to make responsible investments for members? long-term benefits while taking into account the best interest
taking an unfair advantage of other persons in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992.In this case, the offender refused to enter
allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable