integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
morality, the SEC has the power to refuse registering the persons as directors of the association. When it is apparent that the board of directors, directors or members of the associations undertake any
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
venture capital management consideration on which shall be based on the company executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or
executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or public limited company for operating securities business in the category of venture
information which might affect the qualifications of the company is concealed. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a