misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities
standards and relevant regulations as well as being communicated to the personnel. Moreover, the inspection results of individual audit engagements in 2017 showed that the overall audit quality had improved
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
and sharing knowledge among the EU and Asia-Pacific authorities. The forum has continued to prove its worth as an exemplary platform for cross-regional discussion and cooperation, especially as we
supervision, initiate cooperation and address key challenges, which can lead to common practices at the regional level in the future. IOSCO APRC Meeting will discuss important and challenging issues such
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4