Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to
statements for the year 2016 – 2018 to SEC. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 18/10/2019
day of prosecution date until the accused filed the audited financial statements for the year 2016 – 2018 to SEC. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 18/10/2019
the SEC within the specified period. The right to institute a criminal prosecution is extinguished by the death of the offender. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated
accused filed the audited financial statements for the year 2018 to SEC. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 18/10/2019
and the statute of limitations ran out. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 22/10/2019
prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 22/10
Complaint Filed with an Inquiry Official Dated 26/11/2019
sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
. SEC Act S.283 Criminal Complaint Filed with an Inquiry Official Dated 26/11/2019