details of solicitor/advisor, etc. ● Services information / recommendation received/ solicitation/advertising information / services provided by the company, for instance: Solicitation to buy stocks
being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion of Good Corporate Governance and Prevention of Frauds Regulatory Summary of
: Having received an explicit resolution of the shareholders' meeting to approve the offering and such resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion
Office Rules and Regulation • Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person
SEC with three tiers of authority : The SEC Board primarily responsible for policy formulation for market promotion and development ; the Capital Market Supervisory Board issuing rules and regulations
of other laws, for instance, Ponzi scheme, poor services or poor product quality, advertising blockage on sidewalks, poor construction quality, incorrect information provided by insurance companies
responsibilities cover four areas, namely (1) business registration and information services; (2) entrepreneur development, business promotion and trade institutions development; (3) business’ corporate governance
oversees the overall capital market and formulates policies for promotion and development under the Securities and Exchange Act (SEA), which prescribes international standard structure, transparency and
of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply with either of the following rules: (2.1) A fixed rate or a percentage rate of the
of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply with either of the following rules: (2.1) A fixed rate or a percentage rate of the