refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office, which can neither undertake any responsibility for its accuracy nor

The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

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the translation has not been subjected to an official review by the SEC Office, which can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or

instruction which is a duty required to be performed. SEC Act S.300 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 24/2020 Dated 02/09/2020

which is a duty required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 7/2021 Settlement Committee Order No. 48/2021 Dated 21/12/2021

perform her duty resulting in AEC?s violation of section 109 SEC Act S.283 Settlement Committee Meeting No. 4/2021 Settlement Committee Order No. 33/2021 Dated 18/08/2021

failure to give instruction which is a duty required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 7/2021 Settlement Committee Order No. 52/2021 Dated 21/12