companies have considerably increased whereas doubts in a number of cases were reflected whether the placements were used appropriately or fairly to the shareholders. To prevent the exploitation of private
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
statements to materially contain false information and raised doubts concerning the internal control system, spending of B/E money, and the making of accounting records.The SEC has therefore issued the order
million. Since the Board of Directors and management had doubts concerning the recognition of advertising revenue during 2017 and previous years. In this respect, the directors and management of the Company
advised to regularly examine the mutual fund unitholding reports as well as related bank accounts. Moreover, investors should not leave important investment documents with ICs. In case of any doubts or
frauds with considerable loss of money. In case of any doubts, investors should contact the business operator or the “SEC Help Center” via telephone hotline 1207, SEC Facebook page or SEC Live Chat on
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
challenge all of the three arbitrators in the claimant’s selected list because there is a circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall
that they are truly used by the banks in charge to confirm unit subscription. In case of doubts, investors should contact the banks’ client service center or call SEC 24-Hour Public Service Center