preparation and submission of financial statements The financial statements and consolidated financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section
amending financial statements or reports pursuant to sections 56, 57 and 58 of the Securities and Exchange Act and is not being in the process of complying with the orders of the SEC or the Stock Exchange of
application for additional securities business licenses it has not yet obtained by complying with rules and procedures prescribed in this Ministerial Regulation. [Amended by the Ministerial Regulation No.17
the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules
consideration of prohibited characteristics of such auditor. 2.1.4 Post-Approval Duties (1) Complying with the specified rules: performing an audit work in giving opinions on financial statements with
warrant There are measures to protect and preserve the right of shareholders (exempted from complying with the criteria for low-price shares) The shareholders' resolution is effective for one year. Such
stakeholders. In addition, licensed derivatives exchanges must comply with the regulations of the SEC, such as complying with the rules on business operations and receives approval of its rules and the form and