operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and

standards and relevant regulations as well as being communicated to the personnel. Moreover, the inspection results of individual audit engagements in 2017 showed that the overall audit quality had improved

. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities

client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his

the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4

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

securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

will not accept her future application for approval as personnel in the capital market for the remaining period from 31 December 2020 until the 15-month suspension ends. {A} resigned from Finansia on

Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for

of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12