or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the

juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents.  In addition, SEC has prescribed a procedure for

56-1 together with company financial statements, while the results of CG Watch 2012 survey organized by the Asian Corporate Governance Association and CLSA Asia-Pacific Markets indicated that

supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the

information from board of directors? resolution, shareholders? meeting documents and management discussion and analysis (MD&A) and risk factors disclosed in the annual registration statement (Form 56-1) and

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

time of the incident, was considered that he deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led the clients to use Zipup/ZipUp

) Equity Prospectus ( 206 ) Enforcement ( 171 ) Debenture Prospectus ( 169 ) 246-2 ( 152 ) Form 246-2 : Reports on Acquisition or Disposition of Securities ( 105 ) LegalHub ( 90 ) Finanacial Statements ( 60

Prospectus ( 60 ) Finanacial Statements ( 48 ) Form 59-1 / 59/2 ( 41 ) List of Approved persons / Licensees ( 40 ) Public Hearings ( 33 ) Tender Offer Documents ( 17 ) Infrastructure Fund Prospectus ( 9

documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or