lth care, non-discrimination and safety in the workplace, access to relevant training, potential skills development and advancement. (2) Responsibilities to customers at least by adhering to applicable
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
information or misstatement, it will order the company to rectify such financial statements and publicly disclose the order via the SEC website. From time to time where the SEC finds suspicious transactions in
benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to clearly indicate the number of shares to be purchased, without having to use internal
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company