shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an
, 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
transfers capital between businesses that need funding both in the public and private sectors with the saving parties who want to invest. This has effectively increased a diversity of alternatives in fund
case may be, with an intent to cause the opening or closing price of such securities to be higher or lower than it should have been; 5. Placing, modifying, or cancelling a securities trading order in
case may be, with an intent to cause the opening or closing price of such securities to be higher or lower than it should have been; 5. Placing, modifying, or cancelling a securities trading order in
financial information. In cases where the SEC finds that the financial statements contain incorrect information or misstatement, it will order the company to rectify such financial statements and publicly
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
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