Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Securities

Re: Determination of Characteristics of Investors for the Purpose of Notifications Relating to Bills

Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Debt Securities

were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the

client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market

assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment

behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved

revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC

trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market

orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of