; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
manager and the following work units: (1) A derivatives services unit; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives
Notifications > Promulgated under the Securities and Exchange Act > Notification-A Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the
consequently criminal punishment. If other actions of POLAR executives are found to be liable to any offence under the Securities and Exchange Act, the SEC shall take legal action strictly in due course
Distribution of Newly Issued Shares and Share Warrants by Issuer
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________