; (4) within three years preceding the year of filing application toward the date of obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in
obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable
; (4) within three years preceding the year of filing application toward the date of obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law or in contrary to the order of the regulator / acting in contravention of the laws