charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2 Listed company means a
Act. (3) Principles maintaining high grade: 15 Principles - Maintaining Fully Implemented o Collective Investment Schemes: eligibility, governance, organization and operational conduct, and