/executive of the company. Q: What are specific duties of directors according to the SEA? A: The SEA does not stipulate any specific duties for directors but provides a safe harbor for directors and
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
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determine the term of debt securities to be in line with their term of financial needs. On the investors' side, debt securities provide an investment alternative during the period of fluctuations in the
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
every person holding the position equivalent to the fourth rank", the departmental manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person
manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person holding executive position in Accounting or Finance Department whose rank is not
in favor of the plaintiff. The Court shall determine the amount of the award by taking into account the difficulties of the case together with the period of time and the work of the counsel for the
retention, these are stored in safe places in the SEC Office, i.e., central cabinets with locks. Document access is set by authorization and records of users are kept, etc. Complete documents are stored in