any means, while one knows or ought reasonably to know that the receiver of such information may exploit such information for trading securities or entering a derivatives contract related to such
any means, while one knows or ought reasonably to know that the receiver of such information may exploit such information for trading securities or entering a derivatives contract related to such
investment units for sale during the IPO period by notifying the SEC within seven days from the date of cessation of the offering for sale. The company shall return the subscription payment and the interests
investment units for sale during the IPO period by notifying the SEC within seven days from the date of cessation of the offering for sale. The company shall return the subscription payment and the interests
. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients while focusing on protecting and safeguarding the best interests of the investors. 1.4 The
. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients while focusing on protecting and safeguarding the best interests of the investors. 1.4 The
. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a price lower than the IPO price. during the six months period before
the following audit experiences criteria; (3a) General cases: - having affixed signatures for giving audit opinions on financial reports of at least 2 business for not less than 1 year during the
application in accordance with the fast track rule must meet the prescribed criteria, for instance, during the past year, there is no record of being ordered to amend its financial statements or to explain or
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the