Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
, for instance the compliance according to the Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a) prevent dishonest acts of its personnel; (b
) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c
promotion; (3) provide investors with information that is complete, accurate, factual and not misleading; (4) act or refrain from acting in any way within a specified period in order for investors to make or
Clause 4 as the first category of prohibited characteristics; (2) having any record of deceitful, fraudulent or dishonest management of assets as specified by Clause 5 as the second category of prohibited
a trust, such person has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage
not appear that the management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange