defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for
Fund Management ○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business
the cause of such suspension is the same as of the SEC's suspension or revocation of the approval as auditor in the capital market; (5) being suspended or revoked approval as auditor in the capital
performing the duties of: Deposit and withdraw of securities; Transfer of securities; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center
performing the duties of: Deposit and withdraw of securities; Transfer of securities; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center
the reason of suspension is the same as of the SEC's sanction, (3) having been revocation of CPA license, unless the CPA license has been re-granted for 3 years before filing the application, (4
been revocation of CPA license, unless the CPA license has been re-granted for 3 years before filing the application, (4) being suspension or revocation of approval as an auditor in the capital
receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a securities trading order through the securities trading system of the Stock
receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a securities trading order through the securities trading system of the Stock
or by revocation of approval in accordance with Clause 7, such securities company shall rectify such matter within ninety days from the date on which it is notified of such matter by the SEC Office. If