terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
scheme. 4.3 In the case of a mutual fund that will be terminated within 15 months from the registration date; or the preparation of the financial statements for the final accounting year ( a period of
the investment units are offered. This information must be clearly specified in the scheme. 4.3 In the case of a mutual fund that will be terminated within 15 months from the registration date; or the
offender agrees to enter the fining process and pays for the fine in full as ordered by the Committee. The right to pursue a criminal case is terminated. Offences that could be settled by a criminal fine
an application for securities business license in such category within the period specified in the first paragraph, the approval granted shall be terminated. Clause 5 Once the SEC receives the
company or public limited company or fails to file an application for securities business license within the period of time specified under the first paragraph, such approval shall be terminated. Clause 5
approval granted shall be terminated. Clause 5 Once the SEC receives the application filed under Clause 4 together with complete and correct supplementary documents, the SEC shall recommend the Minister to
specified under the first paragraph, such approval shall be terminated. Clause 5 In case where the SEC is of the view that newly established limited company or public limited company has qualifications as