being major shareholder of securities company; provided that severity of such person's behavior shall be taken into account. Further, the specified so period shall not be longer than five years from the
name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
International Federation of Accountants stipulated that it will not be considered as unethical behavior in terms of maintaining client's confidentiality. The code specified that accounting professions shall
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
capital markets in a digital economy " โดย David L. Yermack , Albert Fingerhut Prof. of NYU Stern 10.00 น. – 10.45 น. Risk-Taking Behavior during Downturn: Evidence of Realization Effect in the
of the SEC Office; Approving the persons in the capital market business under the supervision of the SEC Office; Analyzing and reviewing the overview of investment and studying investment behavior, as
behavior is not so serious that the person should not be entrusted to perform duty as auditor of businesses in the capital market, the SEC may disregard such facts as a cause for consideration of prohibited