doing, the association must acquire a license and register with the SEC. The SEC supervises the operation of the associations to ensure that the association oversees the members, and carries out the
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the
. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith and intend to conduct the case to protect the interests of the class members. Secondly, the
of private fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary
for securities business license in the category of mutual fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place
initial issues that the injured person should realize before participating in Class Action. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith
Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial
such a way that obstructs securities trading of other persons, which causes other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for
mandatory. Securities companies without custody services for clients' assets: arrangements for any mechanisms or undertakings in place of the tasks of an audit committee. Qualifications of Audit Committees
such a way that obstructs securities trading of other persons, which causes other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for