systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
Implemented or above for 35 out of 37 Principles. Such notable progress can be summarized into three main groups: (1) New Principles for the SEC, (2) Principles with significant improvements, and (3) Principles
Council of State agreed to apply the principle of Class Action to the cases which have numerous victims affected by tort, breach of contract or damage derived from a violation of specific law, to protect
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
affected by tort, breach of contract or damage derived from a violation of specific law, to protect the injured persons. Accordingly, the principle of Class Action has been enacted as part of the Civil
environmental issues, for example, global warming, and degradation of natural resources, more severe nature disasters, social disparities, and corruption. Any one of these issues could bring about damage to