; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties
derivatives exchange and such regulations is the same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their
to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office; (2) other off-balance sheet’s contingent liabilities which may contribute to the
to buy the leased properties, except the penalty from premature termination; 3. other particulars as stipulated by the Notification of the Office of the Securities and Exchange Commission; (b) other
maturity date without the condition to buy leased properties, except the penalty; 3. other particulars as stipulated by the Notification of the SEC Office; (b) other contingent liabilities of securities
the lessee without purchasing the asset, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office. (2) other off-balance sheet’s contingent
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final