systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
extinguish. In contrast, in case of the failure to make the payment in full, the SEC shall file a petition with a civil court for enforcement in accordance with the letter of consent. On the other hand, where
Supervisory Board or the SEC Office in cases where the officer, the employee or such other persons believe or have reasonable ground to honestly believe that there has been contravention of or failure to comply
injured person claims compensation from a person who, willfully or negligently, unlawfully acts and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
majority shareholders) have personal interests (both directly and indirectly) that may be in conflict with the company's interests which results in such persons' failure to make a decision or to perform
a failure to perform duties with responsibility, due care and loyalty for the best interest of the company, which causes damage to the company or creates benefits for oneself or others. In this regard
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws