Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
) complying with laws and notifications relating to establishment and management of infrastructure fund applicable to securities company, mutatis mutandis; (2) performing the duty in accordance with code of
Criminal Code, as the case may be. Furthermore, the submission of false documents and information to the competent official of the SEC and the deceit to the auditor is liable to be in violation of Section
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to
are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by
and approval to acquire the entire business from SQL. In this regard, the executive directors or any person will be assigned to have an authorization for consideration, approval or any action which is
the mutual fund needs to be dissolved. Division 3 Action to Take When an Investment Unit Value or Investment Unit Price is Incorrect ___________________ Clause 13 In this Division: “price compensation
Office. (3) “code of ethics for professional accountants” means: (a) code of ethics for professional accountants established by the Federation of Accounting Professions (FAP); (b) code of ethics for
possible conflicts of interest; (d) imposing code of conduct or measure to prevent operation constituting conflicts of interest, which includes the following issues: 1. prohibited action possibly