punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
consequently criminal punishment. If other actions of POLAR executives are found to be liable to any offence under the Securities and Exchange Act, the SEC shall take legal action strictly in due course
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
exemption or light-touch track for offers made to sophisticated investors or private placements. However, the SEC proposes that ICO for “investment participation” be initially allowed for institutional
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________
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