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
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
) 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
(Section 240) 1.2 Analyze or forecast by using false information or distorting information (Section 241) Group 2: Constituting an unfair advantage over investor by exploiting the inside
securities and exchange, or aiding or abetting thereof; intentionally presenting false statements in material matters, or concealing material facts that should have been stated in any documents subject to be
(Section 240) 1.2 Analyze or forecast by using false information or distorting information (Section 241) Group 2: Constituting an unfair advantage over investor by exploiting the inside
. Transactions on principal assets/with related persons Acquisition/disposal of principal assets Transaction size (X) in propotion to total asset value Execution of transactions small X < 10% at
likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
size. Evaluate the sufficiency of the internal control system at least once a year. Qualifications of the Chief Financial Officer (CFO) and accountants Public Offering (PO) Secondary Public
, (2) intentionally presenting false statements in material matters, or concealing material facts that should have been stated in any documents subject to be disclosed to the public or filed with the