investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
with objective to provide more flexibility for investor who is knowledgeable in the business raising fund through equity crowdfunding as well as associated risks. On the business side, the issuers will
and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
Investors apply the Principles of this I Code. Principle 1.3 The Investment Governance Policy should specify that Institutional Investors must discharge their duties in compliance with applicable laws
, responsibilities and (in-) actions, and allocate sufficient time to discharge their duties and responsibilities effectively. Guidelines 3.5.1 The board should ensure that there is a mechanism to support
are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to
roles and responsibilities and discharge them efficiently as required by the professional standards and relevant regulations. Accordingly, the SEC has laid out a plan to promote capabilities of the
professional standards. Other causes included a scarcity of knowledgeable personnel with specific expertise such as financial reporting standards and auditing standards, insufficiency of clear and detailed audit