guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved derivatives market investment consultant
Clause 20(2) and 20(3) of 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
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 January 18, 2012
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
analysis on industry outlook to serve as information for making investment decision.As for the personnel, TIA was encouraged to upgrade right protection volunteers in the areas of analyzing financial
(2) of 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
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