from a person who is required by law to specifically take responsibility. - The debenture holder representative or the mutual fund supervisor fails to act in compliance with his or her power and duties
regarding the Claim of Rights under the Securities and Exchange Act The injured person claims compensation from a person who is required by law to specifically take responsibility. - The debenture holder
required by the SEC. 2.1.3 Prohibited Characteristics of Auditors (1) being put under receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person; (2
capital market. The Securities and Exchange Commission (“SEC") adopts various aspects of approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the
specified period, and the following information is required: Application for the offer for sale of shares (form 69-1) Prospectus After offering to sell shares, the company has duty to disclose information in
highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
Ministerial Regulation and has paid the license fee for the year of such effective date shall be allowed to continue undertaking securities business as licensed and shall not be required to pay annual license
securities business as licensed and shall not be required to pay annual license fee afterwards." This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of
fairly. The role, duties and responsibility of directors/ executives The board of directors has a good understanding of its roles, duties, and responsibilities to the shareholders who are the public and
lists, number of shares, voting right number of those persons, and of the concert party having the duty to report their holdings together with those of the waiver applicant as required under sections 246