charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
under Paragraph 1 is translated from any language, the offeror shall proceed as follows: (1) certify that the substance of the translated information has truly occurred or is in existence, and that there
in the registration statement and draft prospectus under Part 4, the SEC Office is empowered to order an offeror to proceed the following actions within the specified period in case it is necessary and
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who
Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as