period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
imposed a probation or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for
imprisonment or discharged of the probation for less than 3 years. In this regard, the aforementioned action has been proceeded only for the offences under the Securities and Exchange Act. 2535 (1992) , the
final judgment of a court regardless of whether the infliction of pubishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years. In this
following actions; (1) Warning; (2) Probation; (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any
) Probation; (Translation) - 7 - (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any applicant seeking
probation or public reprimand, it shall be in accordance with the following criteria: (1) the violation or non-compliance with the rules in undertaking business shall be subject to the administrative fine; (2
or discharged of the probation for less than 3 years: (a) the offences under section 289 in conjunction with section 90 (specifically those having characteristics within the scope of public fraud) or