auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
In the case that the trust manager fails to maintain its qualifications in accordance with Clause 3 or fails to comply with Clause 4, Clause 5, and Clause 6, the provision of the Notification of the
intention whether or not to have the mediation within fifteen days from the date of receipt of the copy of the statement of claim. If the respondent fails to inform his intention within such period of time
). 3 Clause 6 In the case where any securities registrar fails to maintain the qualifications as shown in the application for a license under Clause 3(2) (3) and (4), the Office shall have the power to
providing trading service. Clause 9. In case where person responsible for undertaking of foreign collective investment scheme fails to comply with agreement made with securities company under Clause 6
be returned to the client. In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any