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
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the companies’ managements arising from lack of efficiency
No limitation of holdings: (1) Tax-exempted institutional investors operating as a Collective Investment Scheme (CIS) such as the Government Pension Fund, Social Security Fund, Provident Funds, and
No limitation of holdings: (1) Tax-exempted institutional investors operating as a Collective Investment Scheme (CIS) such as the Government Pension Fund, Social Security Fund, Provident Funds, 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
intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association
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
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
accounting standards and the internal control environment. - Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in