assets; (b) Managing business in such a way that violates the law or fails to comply with the regulatory agency’s order or improper management of business; (c) Non-compliance of law, or unfair practice, or
so complies. In addition to the annual report for the year 2013 (Form 56-2), 2013 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed
financial statements for Q2/2014, ) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. SEC Act S
the Trustee to manage the Real Estate Investment Trust [REIT] as specified in trust instrument shall be a person approved by the Office of the Securities and Exchange Commission. For the purpose of
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in
into the service with unnecessary reason in order to obtain the soft commissions for the fund from such person (churning); In allocation of such soft commissions under paragraph one for funds under
) Shall not have any matters showing that management company enter into the service with unnecessary reason in order to obtain the soft commissions for the fund from such person (churning); In allocation of
have any matters showing that management company enter into the service with unnecessary reason in order to obtain the soft commissions for the fund from such person (churning); In allocation of such