relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties under this Act. SECTION 25. The initial capital of the SEC Office shall
added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years: (a) the offences under
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
guidelines would not impose excessive burdens on audit firms and auditors and would specify penalty alternatives that focus on appropriate proportionality of punishment to offense. The consultation paper
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall be in accordance with the rules specified in