misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of
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
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
Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report name Period
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