providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
collateral. Furthermore, BAY failed to monitor and oversee the collateral while it was under its care. Such actions constitute a violation of Section 300 in conjunction with Section 46, which is subject to
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duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
in the business rehabilitation process under the Bankruptcy Act of 1940. There are measures in place to oversee the asset management for normal business operations under the Central Bankruptcy Court
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the