supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
statements in material matters, or concealing material facts that should have been stated in any documents subject to be disclosed to the public or filed with the Securities and Exchange Commission, the
, or concealing material facts that should have been stated in any documents subject to be disclosed to the public or filed with the Securities and Exchange Commission, the Capital Market Supervisory
governing securities and exchange, or aiding or abetting thereof, (2) intentionally presenting false statements in material matters, or concealing material facts that should have been stated in any