order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities

use of financial innovations.Therefore, the SEC has proposed amendment to the paid-up capital rules to be issued in three notifications by taking into consideration stakeholders? comments and

3, 2014 which has been promulgated in replacement of the said two notifications.  

client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

. Accordingly, the SEC is inviting public comments on the draft notifications relating to the criteria on the use of proceeds, with the key elements summarized as follows: (1) Amendments to the issuer eligibility

for sale of investment units to increase registered capital of a mutual fund, the particulars and information required in paragraph one shall be up-to-date, and the prospectus shall also include the

of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal”) The maximum transaction value calculated based on

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial institution; (14) Performing work in a dishonest manner; (15) Intentionally