, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
, etc. The process of allocation of shares to sponsors The board of directors specifies the nature of favours The board of directors must specify the criteria for favours which benefit the company
being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc. and obtain approval from the shareholders' meeting on the offering of shares not less than one year
Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
complying with the rules on business operations and receives approval of its rules and the form and terms of the derivatives contract specification, etc. Clearing House An important part of trading in
complying with the rules on business operations and receives approval of its rules and the form and terms of the derivatives contract specification, etc. Clearing House An important part of trading in
managers for leasing the property space etc. ensuring that the advertisements are not overstated/ not containing information different from registration statement in the filing /not implying or guaranteeing