ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
Duty). One year from the day when the wrongful act and person bound to make compensation become known to the injured person, or ten years from the day when the wrongful act was committed. Breach of
specified period, and the following information is required: Application for the offer for sale of shares (form 69-1) Prospectus After offering to sell shares, the company has duty to disclose information in
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
fairly. The role, duties and responsibility of directors/ executives The board of directors has a good understanding of its roles, duties, and responsibilities to the shareholders who are the public and
lists, number of shares, voting right number of those persons, and of the concert party having the duty to report their holdings together with those of the waiver applicant as required under sections 246
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end