auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit
example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC
Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities investment consultant for three months, effective from June 27, 2014.
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
Advice dated January 18, 2012. The SEC therefore suspended {A} for one-month from her duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by
to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months from her duty as an approved capital market investment
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for one month from her duty as an approved capital market investment consultant. Taking into account that {A} had