; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing