duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
, which Sakkarin confirmed that it could be done, but no money from the sale order was deposited into the client's bank account.Sakkarin's aforesaid misconduct was a failure to perform duty honestly by
companies must consider. It is in accordance with the duties of directors and executives of the company who have to perform their fiduciary duty with caution together with the company’s risk management
crisis at IFEC. He has also failed to carry out his duty for the benefit of IFEC and its shareholders. There have been many complaints against Mr. Suphanan, alleging that his behaviors have damaged both
mutual fund management: Asset management company (AMC) shall have fiduciary duty to protect the interest of unitholders. In so doing, AMC shall lay out a policy for preventing and monitoring any act that
market.? Hence, we take all factors, such as growth, market development, social changes and disruptive technologies, into account in discharging such duty. These changes inevitably affect the way funds are
draft prospectus with the SEC, and such offering must be carried out through the ICO Portal which have been approved by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit
recognized by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit reports to the SEC Office with regard to their financial condition, business operation or any other information