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Court Cases - List
Court Cases
List
| Ⅰ | Information Disclosure System |
| Ⅱ | Takeover-bid Regulation |
| Ⅲ | Financial Instruments Firms |
| Ⅲ | 1 Duty of Good Faith |
| Ⅲ | 2 Prohibition on the Provision of Conclusive Evaluations |
| Ⅲ | 3 Suitability Rule & Duty to Explain |
| Ⅲ | 4 Other Duties |
| Ⅲ | 5 Prohibition of Compensation for Losses |
| Ⅲ | 6 Prohibition of Transactions, that Significantly Exceeds What Is Normally Required |
| Ⅲ | 7 Limitation of Disposition of Tendered Securities as Collateral by a Customer |
| Ⅲ | 8 Sales Representative |
| Ⅲ | 9 Uniform Practice Code |
| Ⅲ | 10 Others |
| Ⅳ | Prohibition of Market Abuses |
| Ⅳ | 1 Prohibition of Wrongful Means, etc. |
| Ⅳ | 2 Prohibition of Announcement of False Information |
| Ⅳ | 3 Market Manipulation Regulation |
| Ⅳ | 4 Reimbursement of Short-Term Sales Profit |
| Ⅳ | 5 Insider Trading Regulation |
| Ⅴ | Financial Instruments Exchange |
| Ⅵ | Investor Protection Fund |
| Ⅶ | Accounting, Solicitation of Proxy Voting, Investment Trust, etc. |
| Ⅶ | 1 Accounting & Audit |
| Ⅶ | 2 Regulation of Solicitation of Proxy Voting |
| Ⅶ | 3 Investment Trust, Investment Corporation, other Transactions, etc. |
| Ⅷ | Administrative Disposition |
| Ⅸ | Prohibition Order & Suspension Order |
| Ⅹ | Order to Submit a Document |
| Ⅺ | Administrative Penalty |
| Ⅻ | Criminal Penalty |
Reference 1）Commodity Futures Transaction
Reference 2）Syndicate Loan
