, Malaysia, Mongolia, Pakistan, the Philippines, Singapore, Chinese Taipei, Thailand and Viet Nam. conduct investigations and impose sanctions; Communicating enforcement actions and practices; Providing
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
enforcement of the Emergency Decree and has the power to issue ministerial regulations and appoint competent officers to perform duties in accordance with the Emergency Decree. I. Sanctions The contravention or
to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
Sanctions) “มาตรการลงโทษทางแพ่ง” เป็นกระบวนการบังคับ ใช้กฎหมายที่เริ่มนำมาใช้เมื่อวันที่ 12 ธันวาคม 2559 เพ่ือเพ่ิมประสิทธิภาพในการบังคับใช้กฎหมายให้รวดเร็ว มากขึ้น ทั้งด้านหลักทรัพย์และสินทรัพย์ดิจิทัล ใน
of Clause 5(1), the foreign collective investment scheme shall: (1) be managed by a CIS operator who: (a) is under supervision of home regulator which has the authority to impose sanctions or to order