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
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is
every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
following cases: (1) the public offering of newly issued bonds denominated in foreign currency shall be in accordance with the criteria set out under Part 2; (2) the private placement of newly issued bonds