-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

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases