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○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
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the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
; (4) with a CPA license suspended during the last three years before filing an application, unless the cause of such suspension is the same as of the SEC's suspension or revocation of the approval as
related to or because of one's own securities trading; or 7. Transferring or receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a
duties in accordance with standards, or is disqualified, the SEC shall command improvements in its practices, suspensions of its license for a specified period of time, or even a revocation of its license
; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market