offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such
the revocation of the license to the revoked registrar in writing. In this regard, the revoked registrar shall notify the securities issuer of the revocation in writing, and shall arrange the delivery
suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; ( (3) request for renewal of approval or request for
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days
revoke the registration of fund supervisor of such person. In cases where the revoked person under the second paragraph has duties to continue as a fund supervisor of any mutual funds, such revoked person
responsible for the damage occurring to the financial institution whose license has been revoked, or business has been controlled or operation has been ceased due to the rehabilitation plan was not approved by
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is revoked; or in the case that the derivatives