of CD offerings by listed companies while flaws have been found in notices calling a shareholders? meeting to approve CD offering and authorized shares reserved for CD conversion. Without advice of the
the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest
found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and
instruments of which the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and
) revocations took effect on 21 September 2016, (4) - (6) on 17 November 2016, and (7) - (8) on 22 November 2016. In addition, the SEC has found defects in the work performance of three branch managers at two
company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of inappropriate and illegal actions by its employees. The aforesaid defects of AEC
inappropriate and illegal actions by its employees. The aforesaid defects of AEC work systems were in violation of Section 113 and the company was subject to the penalties under Section 282 of the SEA. As a
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
. The aforesaid defects of AEC work systems were in violation of Section 113 and the company was subject to the penalties under Section 282 of the SEA. As a result, the Settlement Committee imposed the