8 to Clause 11, the Office shall proceed as follows: (1) Put on probation; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation or higher more than
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
imposed a probation or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for
final judgment of a court regardless of whether the infliction of pubishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years. In this
) Probation; (Translation) - 7 - (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any applicant seeking
) Probation; (Translation) - 7 - (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any applicant seeking
probation or public reprimand, it shall be in accordance with the following criteria: (1) the violation or non-compliance with the rules in undertaking business shall be subject to the administrative fine; (2
infliction of punishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years: (a) the offences under section 289 in conjunction with section