adviser, and (b) reasonableness of the assumption (Section 89/9). The adviser hired by the board must be responsible to the board. Should the adviser is found to have provided false information, the board
; - 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
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) 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
company disclose false essential information or conceal any facts of which the shareholders should be notified. T aking legal proceedings to claim for damages or the lost benefits to a company, when
, embezzlement of company assets, conflicts of interests, or window dressing. Unfair treatments related to securities trading, for instance, market manipulation, insider trading and dissemination of false
board structure, in terms of size, composition, and the proportion of independent directors so as to ensure its leadership role in achieving the company’s objectives. Principle 3.2 The board should select
has been completed; ● In case of unfair securities trading (such as price manipulation, insider trading, and dissemination of false statements), the SEC may proceed through criminal fining or criminal
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