nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
sign to be worse. However, the Company will operate business without carelessness by drawing attention to the risk factors in every directions. The executing has prepared carefully to the any occurrence
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed
authorities. The duties required under such legislations pose a different type of risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned
with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications