questionable corporate governance issues that could lead to a conflict of interest. (Normally, institutional investors may use several measures such as seeking clarification in writing, meeting with independent
for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case with the Civil Court to seek a civil sanction with a maximum penalty as prescribed by law which shall
the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case
clients’ assets must be returned or proceeded as per the clients’ requests within 15 days from the date when the SEC notifies the company in writing of the SEC Board’s resolutions. (The deadline falls on
in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that this information service
/1942p.doc Translation shall prepare in writing ( electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M
intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing