; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
Inform, disseminate, or certify any statement of information that is materially misleading (Section 240) 1.2 Analyze or forecast by using false information or distorting information (Section 241
under the law governing accounting professions and other additional regulations prescribed by the law governing securities and exchange, or aiding or abetting thereof; intentionally presenting false
likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
accounting professions and additional regulations prescribed by the law governing securities and exchange, or aiding or abetting thereof, (2) intentionally presenting false statements in material matters
governing securities and exchange, or aiding or abetting thereof, (2) intentionally presenting false statements in material matters, or concealing material facts that should have been stated in any