approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
Regulations SHARE : Detail Content Mutual Fund A mutual fund is a significant investment alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they
Regulations SHARE : Detail Content Mutual Fund A mutual fund is a significant investment alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
determine the term of debt securities to be in line with their term of financial needs. On the investors' side, debt securities provide an investment alternative during the period of fluctuations in the
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
every person holding the position equivalent to the fourth rank", the departmental manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person
ownership of the business. Positive gains of the company will also benefit the shareholders. However, the capital increase may cause a dilution effect on shareholders. Therefore, supervision of the program
have done favours which clearly benefit the company, such as customer, supplier, etc. The process of allocation of shares to sponsors The board of directors specifies the nature of favours The board of