purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on interest on loan of financial institutions1
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
/RoyalEnactment/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or
/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence
1 shall not have the same characteristics as those of structured notes nor any conditions which would impose more debts or obligations on the holders of such bills than those of holders of normal
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
Earlier, {X1} had under recorded its liabilities for short-term bills of exchange (B/E) in the annual financial statements for the financial year 2015. The SEC then reviewed the work of {X1}’s
for sale of newly issued securities in the category of debentures and bills without obtaining an approval from the SEC office resulted from the instructions or the failure to give instructions which is