incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or
extinguish. In contrast, in case of the failure to make the payment in full, the SEC shall file a petition with a civil court for enforcement in accordance with the letter of consent. On the other hand, where
Supervisory Board or the SEC Office in cases where the officer, the employee or such other persons believe or have reasonable ground to honestly believe that there has been contravention of or failure to comply
Supervisory Board or the SEC Office in cases where the officer, the employee or such other persons believe or have reasonable ground to honestly believe that there has been contravention of or failure to comply
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
minority investors to bring an action against any director who acts or omits to act in any way that constitutes a failure to perform duties with responsibility, due care and loyalty for the best interest of
minority investors to bring an action against any director who acts or omits to act in any way that constitutes a failure to perform duties with responsibility, due care and loyalty for the best interest of
of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a
be in conflict with the company's interests which results in such persons' failure to make a decision or to perform their duties for the best interests of the company. Therefore, A person who has a