securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
Notification or the guidelines specified by the securities company in compliance with this Notification, or has inappropriate behaviors in performing the duty to give investment advice and provide services
-Galoc oil field, which was deemed unsuitable for further commercial development, led to a realization of impairment loss of the exploration and evaluation expenditure in the amount of USD 39.99 million or
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in
inappropriate to continue its derivatives business, or has the fact that registered derivatives business operator cannot maintain their qualifications, the SEC Office has the power to revoke the registration of
by registered derivatives business operator has a serious effect that is inappropriate to continue its derivatives business, or has the fact that registered derivatives business operator cannot
derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from