activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
of staff in the main fields, accumulated remuneration, labour disputes (if any) Anti-corruption Corporate Social Responsibility (CSR) Related party transaction Important points Does the company have
offeror or a digital asset business for a period not exceeding 10 years or; (5) a reimbursement of investigative expenses incurred by the SEC. In any case, the Civil Sanction Committee shall determine a
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
under Clause 3(5) and (6); (3) be able to show that its working capital will be sufficient to cover its projected expenses incurred in connection with business operation as specified in the SEC’s
information of independent directorship in the group of companies and the total amount of the accumulated remunerations must be disclosed in the annual registration statement (Form 56-1) and annual report
working capital will be sufficient to cover its projected expenses incurred in connection with business operation as specified in the SEC’s Notification; and (4) have shareholder holding exceeding ten
/ embedded derivatives* /securitization. REIT assets can be collateralized. Encumbrances incurred in other cases shall only be for a normal commercial practice in that business or transactions. Lending to