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
social development; it is not only a source of fund mobilization for public and private sectors, but also helps to balance the financial system and drives economic growth, employment, income distribution
; - 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
inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a
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
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities