charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2 Listed company means a
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case of dispute; therefore, the company should also keep the original hardcopies until regulations concerning the matter are stipulated. Q: In case, like the company secretary, CFO's secretary