pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
as a juristic person or as a group of persons; (3) a copy of financial statement of the latest three years, or, in case of a registered group of persons, profit and loss statements of the latest
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Introduction SHARE : Detail Content Class Action is a type of civil proceedings whereby one or more plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central utility functions include the functions such as support services for investment units
. Competitive businesses Clear separation of target group of customers or markets; There are other groups of shareholders that can counterbalance; Major shareholders have more interests in the listed company