suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
the Securities and Exchange Act of 1992 (SEA), and because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to
company, {A} has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2 of the SEA, in conjunction
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
’ investment portfolios, we are contributing to building a complete ecosystem and increasing the roles of institutional investors in managing investments responsibly while taking into consideration both climate
executives of listed companies are required to perform fiduciary duties by considering the matter responsibly, cautiously and honestly for the best interest of the companies. In case of digital asset
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such