fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
business relationship, investment, or administration and management of the issuer, for example, customers, suppliers of raw materials, potential business partners of the issuer, the affiliated companies of
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the