* 0 4 200,000.00 - 90,191.00 - - Grand Total 7 22 97,120,726.19 6,467,807.96 846,120.85 3 22 Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A
Principal Valuer Grand Total /3 In 2020, there were 2 investment consultants imposed administrative sanction as Investment Consultant and Director & Executive. /2 Excluding the cases where the SEC Office
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB
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
related penalty provisions shall apply to the register and transferability of any other securities as specified in the notification of the SEC under Section 33, mutatis mutandis. In cases where the SEC
, securities company, Securities Exchange, over-the-counter center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other
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
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
remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012. The SEC, therefore, has instructed TUCC to
sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012