296/2 of the SEA, as the case may be. The Civil Sanction Committee (CSC) has therefore resolved to impose civil sanctions on the 14 offenders above, as summarized below: (a) The offenders are
thereto, including the rules of the Commission issued under this Act, or professional standards, the Board may impose such disciplinary or remedial sanctions as it determines appropriate, subject to
of Clause 5(1), the foreign collective investment scheme shall: (1) be managed by a CIS operator who: (a) is under supervision of home regulator which has the authority to impose sanctions or to order
application for approval, or may not impose the conditions under this Notifications upon the offer for sale of units of foreign collective investment scheme as prescribed in Part 2: (1) there is a clear fact
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
impose excessive costs on small and medium-sized businesses and startups. SEC will also continue to develop fund-raising platforms and channels suitable for new generation investors and promote
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer