for their decision making since the directors and executives are obliged to provide information and opinion on appropriateness of the transactions, with due care and honesty in order to protect benefits
which in turn would only be possible with the support of a healthy financial reporting ecosystem. Striving to achieve such quality, the SEC has directed its efforts towards strengthening the various
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
board members to perform their duties with honesty and due care in disclosing listed companies? material information.? Information contained in this news release is as of the aforementioned release
orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received
application by using the name and signature of a friend of hers. In case of {B}, the SEC directed KTB Securities to conduct further probe into the case. As Panadda previously claimed, {B} admitted that she
authorities. Under the law, advisers with between $25 and $100 million of assets under management are directed to register with the states, if they are subject to examination by state securities
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honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval