reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of
shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (Translation) -2- (a) the scope of effect
shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (Translation) -2- (a) the scope of effect
Notification stating otherwise. Clause 5 The prospectus shall comprise three sections as follows: (1) Fact sheet; (2) Fund facts; (3) Certification of accuracy and completeness. Clause 6 The particulars and
accountants. In considering the sufficiency and reliability of the audit quality control system under (1) of the first paragraph, the SEC Office shall present any facts and opinions obtained from the inspection
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
derivatives business operator shall be entitled to file a claim for the deficient amount under the business reorganization proceedings or bankruptcy proceedings where the customer is the debtor. Such claim
concealing material facts that should have been stated; (3) failing to perform duties as director or executive (4) allowing any person to use one’s own securities trading account or banking account for payment
. The auditor’s report on the facts related Building Confidence in the Capital Market - 2 - to the questionable land sale and purchase transactions was also submitted to the KC Board of Directors pursuant
deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d