director or executive at any publicly traded company and any securities company for 12 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with the
entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person authorized in writing from the
personal data to other persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained
purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office
upon the date when the offenders affix their signature on the letter of consent to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent
. The suspension period for the offenders serving as a director or executive in the above cases will commence upon the date when the offenders affix their signature on the letter of consent to comply with
civil sanctions in (b), as imposed by the CSC, will commence when the offenders sign a letter of consent, agreeing to comply with the civil sanctions or when the periods of prohibiting the holding of