Exchange Commission. Clause 2. A securities company may sell securities that are not in its possession only in the following cases: (1) short sale for the securities company itself or pursuant to the
-AMENDED.PDF (Translation) trust property from those held in its own capacity and any property in its possession . In cases where the trustee manages several trusts, the trustee shall segregate the trust
processes to enhance the SEC’s investigative authority, particularly in high-impact cases. Further efforts will also focus on disclosure standards and oversight of market professionals. Regarding digital
dates when the offenders sign the letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the cases to the public prosecutor for filing a lawsuit
the cases in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek the maximum applicable civil sanctions, which shall not be lower than those specified by the CSC. In all
, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the cases to the public prosecutor for filing a lawsuit in the Civil Court to seek an imposition of civil
any offenders refuse to give consent to the sanctions, the SEC will submit the cases in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek the maximum applicable civil
director or executive in a securities issuing company or a securities company for four months. The suspension period for the offenders serving as a director or executive in the above cases will commence
. The suspension period for the offenders serving as a director or executive in the above cases will commence upon the date when the offenders affix their signature on the letter of consent to comply with