coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
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
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities
) having a reasonable ground to believe that there is or was [i] a lack of loyalty or practice on code of conduct affecting the reliability of personnel in the capital market business in a significant manner
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The Securities and Exchange Commission (SEC) organized the SEC Capital Market Symposium 2023, an annual seminar to foster collaboration in research and dissemination of academic papers on capital
Mountain Capital Fund : Unlicensed digital asset business (Disclosure Date : 09/01/2024)