*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
sale of newly issued securities; (2) an issuing company which has the duty to prepare and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an
contain any false or misleading statement in materiality nor omission of any material statement that ought to be declared and that the financial statements and financial information referred to in this
regard, the SEC Office may grant a waiver if it is necessary and appropriate: (1) a person having duty according to this Notification would be able to submit the information or the documentation prepared
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
by utilizing trust to create the investment vehicle having company with expertise in real estate investment and management perform duty of REITs manager.REIT regulations are partially similar to those
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
key points as summarized below: 1) REIT manager has the duty to notify the SEC for the termination of the trust property, as well as gather all accounts, evidentiary documents and