Ministerial Regulation and has paid the license fee for the year of such effective date shall be allowed to continue undertaking securities business as licensed and shall not be required to pay annual license
obtained securities business license prior to effective date of this Ministerial Regulation and has paid the license fee for the year of such effective date shall be allowed to continue undertaking
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
to responsibility for mutual fund management. Clause 4 Any person holding more than ten percent of total shares sold of newly established limited company or public limited company under Clause 3 shall
Duty). One year from the day when the wrongful act and person bound to make compensation become known to the injured person, or ten years from the day when the wrongful act was committed. Breach of
specified period, and the following information is required: Application for the offer for sale of shares (form 69-1) Prospectus After offering to sell shares, the company has duty to disclose information in
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
fairly. The role, duties and responsibility of directors/ executives The board of directors has a good understanding of its roles, duties, and responsibilities to the shareholders who are the public and
lists, number of shares, voting right number of those persons, and of the concert party having the duty to report their holdings together with those of the waiver applicant as required under sections 246