preparation and submission of financial statements The financial statements and consolidated financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section
capital which have additional conditions that a write-down/ a write-off may be performed after the capital decrease and in the proportion that is not more than the capital decrease or instruments that have
/ a write-off may be performed after the capital decrease and in the proportion that is not more than the capital decrease or instruments that have been converted. [2] Only subordinated instruments
estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the
: the offer to sell shares remaining from Rights offering 4 t h case: the offer to sell PP shares which is not falling under 1st to 3rd cases 1 st case: assign the board of directors to indicate the
investment units redeemed in the previous five days) In cases where the mutual fund management company, upon consideration, honestly and reasonably believes that the dissolution of the mutual fund will not
inspection prior t o approval. (2) Normal: auditors who do not meet the Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a