make an argument with evidence against the allegation before the SEC commences the consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent
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
the case that any director disagrees with the overall resolution, as such record can be used as a proof that the director has expressed his or her disagreement in the meeting. Q: Would a director who
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