seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in
in the business rehabilitation process under the Bankruptcy Act of 1940. There are measures in place to oversee the asset management for normal business operations under the Central Bankruptcy Court
order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty. In any case, more severe
unable to find sufficient evidence to justify the management's decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the