offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved credit rating agency. This is to allow the investors to have information on the
complying to the framework as specified. Besides, participation as a lecturer or instructor in certain subjects in the courses under item continuing development course can count as