, 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
likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
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2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
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
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the