order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 11/04/2022
result of his failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(2)(4) Criminal Complaint Filed with an Inquiry Official Dated 28/10/2022
financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. The public prosecutor issued a prosecution order against the
financial statements for the year 2021 and (2) the annual report for the year 20201 (Form 56-2, 2021) to the SEC within the specified period. The public prosecutor issued a prosecution order against the
and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. This case is in the process of inquiry by the inquiry official. SEC Act S.244/2 in conjunction with 244/1
the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained