, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
the SEC within 30 days . In case the operator ( a ) fails to submit such plan ( b ) fails to operate in accordance with the plan ( c ) experiences negative NCs for 5 consecutive days, or ( d
guarantor; or the expenses on the arrangement with a new guarantor is higher than the benefits for the fund; or the mutual fund management company fails to appoint a new guarantor, the mutual fund management
following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net
guarantor; or the expenses on the arrangement with a new guarantor is higher than the benefits for the fund; or the mutual fund management company fails to appoint a new guarantor, the mutual fund management
following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net
Office, provided that the application shall be in form and filed together with supplementary documents as specified in the SEC’s Notification. In case where approved person fails to establish limited
SEC’s Notification. In case where approved person fails to establish limited company or public limited company or fails to file an application for securities business license within the period of time
form and filed together with supplementary documents as specified in the SEC’s Notification. In case where the approved person fails to establish new limited company or public limited company or fails to
case where the approved person fails to establish new limited company or public limited company or fails to file the application for license within the period of time specified under the first paragraph