position in Accounting or Finance Department whose rank is not lower than departmental manager. The inquiry is on the interpretation of the term “person holding executive position in Accounting or Finance
. The inquiry is on the interpretation of the term “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" as to whether it includes every
ground for the SEC Office to file criminal complaint against such person with the inquiry official, and being under investigation by the inquiry official, or under consideration and prosecution of the
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the injured person. I n addition, the plaintiff and the counsel for the plaintiff are the
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1