other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
, a director or an executive to elucidate or disclose additional information within the specified period, and order a foreign company to suspend the offer for sale of shares until clarification and
project. After that, SCT has informed the company that SCT would like to purchase the said land plot. (There is no restriction on the change of land purchaser indicated in the land purchase and sale
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
shareholders of KPPH as per the Transaction. Nevertheless, the waiver of subscription in CCPH is considered as an disposal as specified in the Acquisition and Disposal of Assets Notifications, as well as, the