severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and
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
environmental issues, for example, global warming, and degradation of natural resources, more severe nature disasters, social disparities, and corruption. Any one of these issues could bring about damage to
effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code. - enhancement of supervision on securities exchange through Amendment to the Securities and Exchange
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