, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
financial information. In cases where the SEC finds that the financial statements contain incorrect information or misstatement, it will order the company to rectify such financial statements and publicly
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
or in contrary to the order of the regulator / acting in contravention of the laws or acting unfairly or in an exploiting manner. Having been sentenced to imprisonment by the court's final judgment on