warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
prevention and law enforcement efficiency; encouraging investors and shareholders to learn of their rights and duties as well as empowering them to protect their own interests; conducting a survey on levels
the Board of Directors and/or the Executive Committee and/or Managing Director which in the level of Senior Executive Vice President up shall be authorized to perform various tasks related to the
representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to the law on securities and exchange and relevant rules issued by virtue of
of a representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to the law on securities and exchange and relevant rules
follows: (1) having an agreement, in writing, for appointment of a representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to
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according to appropriate periods to facilitate the SEC’s performance of duties under the law for public interest or investor protection; (2) Revising the reporting forms of clients’ assets and transactions
investors have sufficient information to make informed investment decisions. We also emphasize the responsibilities of boards of directors and executives, who must perform their duties with integrity, due