discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
overstated, distortion, or concealed or substantive misleading information; (2) the advertisement shall not urge the client to make a decision to use its services or invest in capital market products ; (3) the