material particular, providing an investment analysis or a forward looking statement based on false or distorted data. It is imperative that the persons who give information or opinions to the public be
enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
Project has been initiated under the SEC?s strategic plans aiming to reach out to targeted business sectors, in particular to enable access to capital market for science and creative-based businesses in
wrongdoings, both in the manners of fraud and unfair securities trading, and the SEC has taken legal actions against these offenders in many cases. In this particular case, the SEC has filed a criminal
Office to ensure compliance with this Notification, require derivatives clearing houses to submit to the SEC Office reports or any particular documents periodically or from time to time, within a time
of the SLBP but also ensure proper monitoring, disclosure and verification as per section 4 of the SLBP. In particular, issuers of SLBs should publish, and keep readily available and easily accessible
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from
and answers about the channels for investors to receive additional information about the mutual fund. Clause 12 The particular on risk factors of the mutual fund shall disclose information about the