supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
trading for a period not exceeding 5 years / a prohibition against trading of digital assets or entering into derivatives contracts related to digital assets for a period not exceeding 5 years; (4) a bar
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
company having disqualified characters in accordance with Clause 4(4), (5),(6),(7),(8),(9), or (10), the SEC Office shall be empowered to specify the period of time or conditions to bar such person from