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

industry groups and committing to targets as they shift gears to invest in a global economy that is transitioning into a low-carbon world. STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY

committing both of insider trading and disclose inside information. Director of Company Unfair Securities Trading Activities *In JAS case, there was one offender signed a letter of consent on 6 January 2020

potential investments before committing. • Motivated to research the range of investments incorporated in investment products in order to make both a financial and ethical decision on their suitability