practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
law and standards, considering impact on health, safety of products and services, customer information security, sales conduct, after-sales service throughout the lifespan of products and services, and
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
Police or the Department of Special Investigation) for further investigation in accordance with the Criminal Procedure Code. After that, the inquiry official will conduct a further investigation and pass
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and
details of the investigative process to the complainant to prevent an impact on the consideration of the case. The results of the consideration will be sent to the complainant after the SEC investigation
for considering Associated Persons 3. Procedure to comply with the limitations (the case of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment
for considering Associated Persons 3. Procedure to comply with the limitations (the case of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment