proceeding, starting from 6 October 2016.In this case, the ban was not resulted from a criminal complaint initiated directly by the SEC, but from a criminal charge of the public prosecutor. The SEC had

2014. Starting from January 1, 2014, provident funds are allowed to invest in derivatives for the purpose of efficient portfolio management (EPM) up to a permissible proportion. The funds were previously

imposed by {A}'s former employer, the SEC will not consider his application for approval as capital market personnel for one year eleven months and fourteen days, starting from December 20, 2013 

starting from relatively low risk securities to products that are more complicated. This allows investors and business operators time to test the water, sharpen their skills and make adjustments in

, and {A}, as the financial advisor supervisor, starting from February 27, 2015. ------------------------ Note: In this case, the SEC did not grant IPO approval to the applicant.   

she has already been suspended by Finansia Syrus Securities Plc. for six months, the banning of her application is thus remained nine months, starting from April 11, 2013.

instrument and mutual fund. In addition, starting from July 1, 2012, the SEC will require person with duty to solicit and give advice on securities or derivatives to institutional investor be approved by the

its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on

six-year period starting from 25 October 2025 during which her applications for approval to be a capital market auditor will not be considered. Note:* Failure to comply with auditing standards

, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or