, procedure and technical production, production flow, machine standardization, raw material standardization, diagnostic, testing and process control including the procedure and patent and other necessary
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
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the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
voting method for director selection. This case is in the judicial consideration process. In addition, on 14 November 2017 the SET announced that IFEC might be liable to delisting because IFEC failed to