Market Supervisory Board concerning personnel in the capital market*, the SEC therefore,-1. Disclosed inappropriate behavior of {A}, a securities investment consultant and {D}, a capital market investment
applications for approval as capital market personnel for the period of three years; Revocation of {F} and {G}'s approval status as securities investment consultant and will not consider their application for
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that her approved investment consultant status
analysis on industry outlook to serve as information for making investment decision.As for the personnel, TIA was encouraged to upgrade right protection volunteers in the areas of analyzing financial