emphasis on sufficient information on offered products and services for investors? understanding and investment decision; particularly characteristics, return payment conditions, and the risks involved, not
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the
the decision-making on investment or the change in the securities price of the company within specified period. SEC Act S.300 Settlement Committee Meeting No. 2/2018 Settlement Committee Order No. 10
failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the
misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the
to allow investors to make informed investment decision. As fact sheet is considered part of the registration statement, investors will be entitled to take legal action against DW issuer if it contains