bar from serving as a director and executive of securities issuing companies and listed companies for a specific period.* Since {A} refused to extinguish the case by agreeing to comply with civil
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
civil sanctions in (b), as imposed by the CSC, will commence when the offenders sign a letter of consent, agreeing to comply with the civil sanctions or when the periods of prohibiting the holding of