, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors

investors do not realize that it is not permissible for investment consultant, with or without authorization from investors, to make decision in securities and/or derivatives trading on behalf of them

the public prosecutor to file a civil lawsuit against these 11 persons to the Civil Court to impose a civil monetary penalty at the maximum rate permissible under the law. Accordingly, the SEC will

such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund committee

entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund

nature shall be permissible only in the following events: (1) revision of information that results in all unitholders receiving more benefits; (2) revision in accordance with the Securities and Exchange

on the Offering of Units of Infrastructure Trusts; “infrastructure asset” means the infrastructure asset permissible for the trust’s investment under the Notification of Capital Market Supervisory

exceeding the permissible proportion that such unitholders shall not be entitled to receive dividends or exercise the voting right of the excessive units. In this regard, the REIT shall transfer the dividends

where such financial institution operates; (2) being a creation of obligation related to permissible investment of private funds in accordance with the Notification of the Capital Market Supervisory Board

financial institution operates; (2) being a creation of obligation related to permissible investment of private funds in accordance with the Notification of the Capital Market Supervisory Board concerning