the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary

potential conflict of interest, disclose the upcoming related party transactions; * The guidelines for disclosure of the use of proceeds shall be in accordance with the Disclosure Guidelines for the

beneficial facts or evidence in the trial of the case or the proceedings, or concealing or destroying the evidence of the case or giving false statements, etc.; Clause 4. A person having the prohibited

institution; (14) Performing work in a dishonest manner; (15) Intentionally concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the

prepared for the upcoming competition after the liberalization of securities business license in the future, this Notification is issued to determine the rules regarding permission to qualified securities

has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the

that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and

misled investors in a manner of concealing or disguise or making up non-existing facts in material transactions or operation. (d) having withdrawn an application for an offer for sale of newly issued