. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

economy.  Besides, sustainability development through corporate social responsibility and corporate governance were emphasized to increase their awareness and implementation.  In addition, this time it was

firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management

companies, to buy securities and then transfer them to the aforesaid friend's account.In addition, {A} instructed an investment consultant colleague in charge of a client's securities trading account to make

make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

directors and shareholders is also a WEH?s director and shareholder. In addition, due to its high value the transaction requires the approval from a shareholders? meeting that DEMCO will propose at an

sponsor registration fees for their training courses. The training curriculum will be based on the Institute of Chartered Accountants in England and Wales (ICAEW). In addition, the SEC will coordinate with

of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised.  In addition, asset management company or seller may

whole amount of the benefits from the fund after the resignation while his or her membership continues for a period specified in the fund?s article. In addition to the abovementioned, the SEC will propose