has already served SEC’s sanction in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s) under consideration, the
SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors
company as seen appropriate, or clarify the reasons for inability to comply with the I Code, or implement a substitute measure. The I Code principle application and results should be disclosed on
internal control measure concerning the process to drawdown the loan, for example, majority of collective body authorized to drawdown the loan should comprise disinterest directors. - If the management can
plans for each measure, as follows: Quality Demand: (1) Cultivate long-term investment culture through individual investment accounts to enable investors to convert their savings into long-term
benefits received or would have been received from committing offenses shall be remitted to the Ministry of Finance as public revenue. Note: * Civil sanctions are an enforcement measure under the
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
be in accordance with the following rules and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to