such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
negotiation and the handling thereof has not completed within such period, the securities company shall maintain the records of such action until the complaint handling is completed. In the case where the
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of
companies throughout a period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of
fund manager; (16) Intentionally neglecting to take action in compliance with any order of the Office or the Securities and Exchange Commission under Section 141, Section 142 or Section 143; (17
in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual fund manager; (16) Intentionally neglecting to take action in
and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force