, 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
case may be, with an intent to cause the opening or closing price of such securities to be higher or lower than it should have been; 5. Placing, modifying, or cancelling a securities trading order in
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 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
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
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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
every person holding the position equivalent to the fourth rank", the departmental manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person