broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
Duty). One year from the day when the wrongful act and person bound to make compensation become known to the injured person, or ten years from the day when the wrongful act was committed. Breach of
specified period, and the following information is required: Application for the offer for sale of shares (form 69-1) Prospectus After offering to sell shares, the company has duty to disclose information in
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
fairly. The role, duties and responsibility of directors/ executives The board of directors has a good understanding of its roles, duties, and responsibilities to the shareholders who are the public and
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and