of 2018: (1) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (2) a suspension of securities or derivatives trading for up to five
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
committing the offenses shall be remitted to the Ministry of Finance as public revenue. _________________________Remarks: * The domination of trading orders refers to the execution of bid and offer
penalties and the compensations at an equal amount received or should have been received from committing the offenses shall be remitted to the Ministry of Finance as public revenue
lower than those specified by the CSC. In all cases, the civil penalties and the compensations for the benefits received or would have been received from committing the offenses shall be remitted to the
Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate
committing the misconduct. Additionally, the SEC has banned {B} from holding the position of branch manager in charge of capital market business at the bank for two months. Following the complaints from
personnel. The said actions of both executives were in violation of Section 283 of the SEA, which was the result of the company committing an offence under Section 113 of the same Act. The SEC shall
committing an offence under Section 113 of the same Act. The SEC shall forward the case to the Settlement Committee to consider fine penalties, and if they refuse to enter the settlement process, the SEC shall
deemed committing an offence. Moreover, the SEC has obligation to maintain confidentiality of the acquired information in the same manner as other information acquired from performing its duties and is